ASIC releases report on Compliance with Design and Distribution Obligations by Retail OTC Derivative Issuers

ASIC issued Report 770 Design and Distribution Obligations: Retail OTC Derivatives (“Report 770”) after conducting a review of compliance with the design and distribution obligations (“DDO”) by over-the-counter (“OTC”) derivative issuers to retail clients. The findings of Report 770 are relevant and applicable to all retail product issuers. The OTC...

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Melody Gao

Melody assists in preparing, reviewing and negotiating legal documentation for participants in the financial services industry. Melody also assists with developing, reviewing and amending compliance documentation. She also supports the Compliance Consultants with the preparation of AFSL and ACL applications, variations and compliance reviews. Melody provides ongoing legal support and also assists in implementing ongoing compliance support, updating procedural documentation and preparing compliance reporting for Compliance Committees and Boards of Directors.

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