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1.Market Observations, 8.Was Sticky

14 June 2017 (AFR) – ASIC says four out of five managed funds aren’t compliant

(14 June 2017, AFR, p25, by James Frost)

‘Surveillance by the Australian Securities and Investments Commission found four out of every five fund managers failed some aspect of compliance in the regulator’s annual review of the sector. The operation involved 28 fund managers with $100 billion in assets under management and was conducted in 2016. The regulator said that three entities continue to remain the subject of high-intensity broad-based surveillance.’

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