Regulatory Alerts2011-08-12 | RG-227RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors
The Australian Securities and Investments Commission issued Regulatory Guide 227 to establish guidelines for improved disclosure to retail investors regarding over-the-counter contracts for difference, margin forex, and similar products. The document mandates enhanced transparency measures to help retail clients better understand and assess the risks associated with these financial instruments. It also provides specific guidance on the advertising of over-the-counter contracts for difference to ensure that promotional materials are clear and not misleading.
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