Search results with tag "Regulatory guide"
Credit licensing: Responsible lending conduct
www.asic.gov.auREGULATORY GUIDE 209 Credit licensing: Responsible lending conduct . November 2014. About this guide This is a guide for credit licensees, credit applicants and unlicensed carried
ACN, ARBN and company names - Australian Securities and ...
download.asic.gov.auREGULATORY GUIDE 13: ACN, ARBN and company names RG 13.21 None of the words “instrument”, “transaction” and “dealing” are defined in the Law. “Instrument” has been read in various ways in different statutory contexts, but usually means a written document which is intended to have some legal effect. That
Licensing: Managing conflicts of interest
download.asic.gov.auREGULATORY GUIDE 181: Licensing: Managing conflicts of interest The conflicts management obligation RG 181.16 Licensees are obliged (among other things) to have adequate arrangements for the management of conflicts of interest that may arise wholly, or partially, in relation to the provision of financial
Regulatory Guide 165 Licensing: Internal and …
download.asic.gov.auREGULATORY GUIDE 165 Licensing: Internal and external dispute resolution . July 2015 . About this guide This guide explains what …
Regulatory Guide G-206 Financial Guarantees for …
www.nuclearsafety.gc.caREGULATORY DOCUMENTS. The Canadian Nuclear Safety Commission (CNSC) operates within a legal framework that includes law and supporting regulatory …
REGULATORY GUIDE 1 - Key Solutions Inc
www.keysolutionsinc.comRev. 2 of RG 1.21, Page 3 In 10 CFR 72.44(d), the NRC establishes environmental monitoring requirements for each facility holding a specific license under Part 72 authorizing receipt, handling, and storage of spent fuel, high-level