ASIC Regulatory Guide 274 Product Design and Distribution Obligations (Australia)
Section D: Issuers, distribution, review, reporting and records – ASIC Regulatory Guide 274 Product Design and Distribution Obligations (Australia)

ASIC Regulatory Guide 274 Product Design and Distribution Obligations (Australia) RG274.140-148: Issuers: take reasonable steps so that distribution is consistent with the TMD

The issuer must take reasonable steps that will lead, or will probably lead, to distribution that matches the TMD, judged on the risk of inconsistent distribution, the harm that could follow and the steps available. ASIC expects effective arrangements covering distributor selection and supervision, marketing, training and data, with closer controls for distributors whose past conduct suggests higher risk; steps can go beyond retail distribution conduct itself.

Maintained by Gerard Blokdyk

Other controls in Section D: Issuers, distribution, review, reporting and records – ASIC Regulatory Guide 274 Product Design and Distribution Obligations (Australia)

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