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) RG274.149-157: Review the TMD periodically and on triggers, and stop distribution until the review is done

The issuer must review the TMD within each review period, when a review trigger occurs, and when other information reasonably suggests it is no longer appropriate. Once it becomes aware of such information, it must stop issuing the product and tell distributors to stop until the review is complete. ASIC expects reviews to use multiple data sources (sales, out-of-market sales, complaints, claims, cancellations, distributor data) and to lead to a documented outcome.

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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