Asic reg guide 206

ACL Representatives Policy Template $ 220.00. Credit Assistance Provider, Credit Provider, Policy, Regulatory Guide 205, Regulatory Guide 206, Representatives. Description; This template has been developed to meet the requirements as outlined in ASIC Regulatory Guides 205 and 206.

ASIC REGULATORY GUIDE 46: IMPROVING DISCLOSURES Introduction The following document has been prepared for SDOT2 the purposes of ASIC Regulatory Guide 46. All figures are as at 30 June 2009 unless stated otherwise. Disclosure Principle 1 : Gearing Ratio The gearing ratio indicates the extent to which a scheme's assets Bright Law Financial Services Seminar Sydney 6 May 2014. It will assist participants to meet their CPD requirements as set out in ASIC Regulatory Guide 206. We look forward to seeing you. PROGRAM. 8:00am Registration and coffee. ASIC Regulatory Guide 146 (Training of Financial Product Advisors)1, ASIC Regulatory Guide 206 (Credit Licensing: Competence and Training)2 and ASIC Regulatory Guide 104 (Licensing: Meeting the general obligations)3. More specifically: RG104.77 Expectations that training and competency requirements relate to knowledge and skills of representatives. In addition to the Trans-Tasman Mutual Recognition legislation, which already applies to Australian financial services licence holders, ASIC has updated its regulatory guides setting out the minimum training requirements for individual financial advisers in Australia (RG 146 Licensing: Training of financial product advisers and RG 206 Credit • Include compliance training on regulatory requirements applying to credit activities. Records of the CPD activities must also be maintained. ASIC states (at Regulatory Guide 206.66) that the following activities may count towards CPD: • Attendance at relevant professional seminars or conferences; ASIC Reg Guide 227.51(a) Current Hedging Policy Applied by Phillip Capital Trading is that all CFD positions are automatically hedged by Phillip Capital Trading