RG 98 Licensing: Administrative action against financial services providers

Issued 30 July 2013

This guide is for Australian financial services licensees, their representatives, and advisers.

It describes the administrative powers available to ASIC to enforce compliance with the Corporations Act 2001, including the financial services licensing and market integrity provisions. It also indicates the matters ASIC generally takes into account when exercising these powers.

Download RG 98 (PDF 208 KB)

Last updated: 30/07/2013 12:00