Episode 22: Ongoing DDO obligations for Managed Account providers
IMAP Podcast Series - Independent Thought
Chapters
2:21
Does ASIC think the industry is compliant or not ?
6:13
Why is ASIC issuing Stop Orders ?
12:40
DDO is a really important new tool for ASIC
15:20
What are some of the traps peopel are falling into ?
17:46
Do we even need a TMD? (spoiler alert - we really really do)
19:31
Some clarity and guidance from ASIC would be welcome
23:17
What are we doing right with TMD's and DDO as an industry?
26:16
The need to take reasonable steps, to distribute the product in accordance with the target market determination
IMAP Podcast Series - Independent Thought
Episode 22: Ongoing DDO obligations for Managed Account providers
Jun 13, 2023
Episode 22
IMAP
Jenny Mulders - Chair of the IMAP Regulatory Group (Source Services), Jesse Vermiglio (Holley Nethercote) and Simon Carrodus (Hamilton Locke) from IMAPs Regulatory Group discuss:
- Different obligations for different managed account structures
- Complaints management
- Target Market Determinations (TMDs)
Moderated by David McDonald, CFA - IMAP
