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Future of Financial Advice: Best interests duty and ...
to financial advice in Australia (REP 224), we noted that one of the main reasons some investors do not seek personal financial advice is the lack of trust they have in financial advisers. 13 In addition, around two-thirds of retail and institutional investors do not
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Related party transactions - ASIC
download.asic.gov.auDirectors of companies also have statutory duties (s180–184) and common law duties. These duties apply regardless of whether a transaction receives member approval in accordance with the Corporations Act (s230). RG 76.10 Similar restrictions apply when a registered scheme provides a financial benefit to a related party.
Published by ASIC ASIC Gazette
download.asic.gov.auASIC GAZETTE Commonwealth of Australia Gazette . UM1/15, Friday 27 February 2015 . Unclaimed consideration for compulsory acquisition . Page 2 of 378
Regulatory Guide 165 Licensing: Internal and ... - ASIC
download.asic.gov.auREGULATORY GUIDE 165: Licensing: Internal and external dispute resolution About ASIC regulatory documents In administering legislation ASIC issues the following types of regulatory
Commonwealth of Australia Gazette Published by …
download.asic.gov.auASIC GAZETTE Commonwealth of Australia Gazette ASIC 40A/08, Wednesday, 21 May 2008 Banking Act Unclaimed Money Page 2 of 463 Specific disclaimer for Special Gazette relating to Banking Unclaimed
Form 362/486 Notification by a company to nominate or ...
download.asic.gov.auASIC Form 362 21 November 2014 Page 1 of 2 Notification by a company to nominate or cease a registered agent or contact address Form 362/486 This form may be used by an Australian company to nominate or cease a registered agent or contact address.
Industry funding Business activity ... - download.asic.gov.au
download.asic.gov.au3 Business activity metric checklist Subsector Business activity metric information required Pre-filled by ASIC Metric definition Auditors of disclosing entities • Your entity's 2017-18 audit fee income, reported on an accruals basis
certificate by qualified accountant
download.asic.gov.auSample certificate that a qualified accountant could issue to certify that a person or entity is a ‘sophisticated’ or ‘wholesale investor’ under chapters 6D …
Summary of CSF authorisation additional questions
download.asic.gov.auprescribed risk acknowledgement? (g) handle application money in compliance with the obligations under its AFS licence and ... the assumption that you will hold application money in excess of $100,000 from clients for CSF offers). Title: Microsoft Word - CSF Intermediary Licensing - C11 Proof and questions - 12Sep17.docx ...
Regulatory Guide RG 5 Relevant interests and substantial ...
download.asic.gov.auThis version was issued in November 2013 and is based on legislation and regulations as at the date of issue. It incorporates minor amendments only to the original version issued in June 2013, including new references in Table 4 to recently issued class orders.
form 6010 - ASIC
download.asic.gov.auAll statements in the Declaration must be correct. Making a false declaration to ASIC is an offence. Signature This form must be signed by the applicant for deregistration. The applicant can be: ... Please consult your accountant or solicitor for …
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Standard Conditions for full financial advice provider ...
www.fma.govt.nzfinancial advice and financial advice services in the FMC Act, FMC Regulations and the Code of Professional Conduct for Financial Advice Services. Your records should include (without limitation): • a record of all regulated financial advice given to …
Regulatory Guide RG 90 Example Statement of Advice: …
download.asic.gov.auSOA is based on a hypothetical financial advice scenario described in Appendix 1. The example SOA provides an example of scaled advice (i.e. personal advice that is limited in scope) about personal insurance— including life and total and permanent disability (TPD) cover, income protection insurance and trauma insurance —for a new client.
Quality of Advice Review - Draft Terms of Reference
treasury.gov.auReview of the quality of financial advice 2 Draft Terms of Reference Purpose of the Review 1. The Government is committed to ensuring that Australians have access to high quality, affordable and accessible financial advice. Consistent with recommendations 2.3, 2.5 and 2.6 of
Executor Checklist - Financial Services | CIBC
www.cibc.cominsurance advice, nor should it be construed as advice suitable for individuals. For specific advice on your circumstances, please consult a financial, tax, legal and/or insurance advisor.
Getting Started Financial Affidavit (Family & Divorce Cases)
ilcourtsaudio.blob.core.windows.netFinancial Affidavit (Family & Divorce Cases) IMPORTANT: This getting started guide and the instructions are not legal advice. They are only meant to help you learn how to complete a Financial Affidavit (Family & Divorce Cases). Your use of the forms does not guarantee you will be successful in court.
Final Report - Europa
www.esma.europa.euESMA’s advice on the KPIs that will be disclosed by non-financial undertakings provides the definitions that entities should use for the calculation of the three metrics namely the turnover KPI, the CapEx KPI and the OpEx KPI. Furthermore, the advice sets out the content of the
The buck stops here: Putting a value ... - The Vanguard Group
www.vanguard.comwealth management through financial planning, discipline, and guidance, rather than by trying to outperform the market.1 ... advice, there is a great temptation to define an advisor’s value-add as an annualized number. In this way, fees deducted annually for the advisory relationship can be
Financial Reporting for Schools - Department of Education ...
www.education.vic.gov.auFinancial Reporting for Schools v3.5 3 Foreword The analysis and interpretation of relevant reports is an essential financial and management function for monitoring budget and making sound planning decisions. School administrators and councillors require accurate and timely financial reports to manage current programs and to plan for