Results for "Design and distribution obligations"

Design and Distribution Obligations (DDO) regime is one of the biggest things for the financial services industry in 2020, affecting almost every part of the industry. ...

ASIC has released Report 762 (the Report) following its recent review into how investment product issuers are complying with the Design and Distribution Obligations (DDO) regime. The report summarises ASIC's findings and highlights areas for improvement. ...

An overview of how the final RG deals with a key questions raised by issuers and distributors for Design and Distribution Obligations. We look at issues relevant to all industries, and then some particular questions for banking, superannuation and investments, and insurance. ...

Covered in this webinar: notable recent enforcement decisions in the UK and likely hot topics for regulatory enforcement going forward; key areas of focus for supervisors at regulators; and the most significant areas of regulatory reform we can expect to see over the coming year. ...

Covered in this webinar: APRA enforcement update – In July 2024, APRA announced it had agreed to accept an enforceable undertaking from OnePath Custodians, and that OnePath had paid $10.7 million under infringement notices issued by APRA. This webinar takes a look at the case in detail, including some of the key takeaways for superannuation trustees and other APRA-regulated entities. DDO enforcement update – ASIC has successfully prosecuted the first two design and distribution obligations cases. This webinar takes a look at some key findings from those cases, including the court's view on what constitutes 'reasonable steps' for issuers and distributors of financial products and an issuer's obligation to monitor and review data. ...

The Full Federal Court has provided further guidance on unfair contract terms laws, including in relation to the assessment of whether a term creates a significant balance and whether the term is reas ...

Covered in this webinar: Consultation on the first tranche the Albanese Government's 'Delivering Better Financial Outcomes' package of reforms, addressing several recommendations from the Quality of Advice Review; and ASIC's civil penalty proceedings against Telstra Super Pty Ltd, being the first case to test the application of the internal dispute resolution obligations in s912A of the Corporations Act. ...

Following the collapses of the Shield Master Fund and First Guardian Master Fund, Treasury has released a consultation paper on curbing lead generation activity. The proposed reforms will be particula ...

The response to the Final Report The Government's initial response to support the Recommendations was met with intense dissatisfaction and criticism from the mortgage broking industry. Industry groups argued that banning trail commissions ...

Covered in this webinar: The latest from the Court of Appeal on conflicted remuneration and financial product advice The Financial Accountability Regime ...