Additional resources for the enhanced regulatory sandbox
Webinars
Enhanced regulatory sandbox: Overview Webinar
In coordination with ASIC issuing guidance about the Government’s enhanced regulatory sandbox, the Innovation Hub team hosted an overview webinar on the new framework.
Streamed on Monday 31 August, the session walked through:
- Key features of the ERS
- Products and services that can be tested within the ERS
- How to apply for the ERS
- What obligations apply to businesses using the ERS
- Open discussion and Q&A
To download a copy of the presentation slides, click here.
Meeting your ERS conduct and disclosure obligations
When you provide eligible financial services or engage in eligible credit activities under the ERS exemption, you are required to comply with specified conduct and disclosure obligations as a condition of your exemption. These obligations apply to you as if you were an Australian financial services (AFS) licensee or an Australian credit licensee.
Below is a list of AFS and credit regulatory guides that provide further guidance on how you can comply with your obligations:
Financial services
RG 1, RG 2, and RG 3 AFS Licensing Kit
RG 21 How ASIC charges fees for relief applications
RG 36 Licensing: Financial product advice and dealing
RG 90 Example statement of advice
RG 104 Licensing: Meeting the general obligations
RG 105 Licensing: Organisational competence
RG 121 Doing financial services business in Australia
RG 126 Compensation and insurance arrangements for AFS licensees
RG 165 Licensing: Internal and external dispute resolution
RG 167 Licensing: Discretionary powers
RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)
RG 175 Licensing: Financial product advisers—Conduct and disclosure
RG 185 Non-cash payment facilities
RG 221 Facilitating online financial services disclosures
RG 244 Giving information, general advice and scaled advice
RG 246 Conflicted remuneration
Credit activities
RG 203 Do I need a credit licence?
RG 204 Applying for and varying a credit licence
RG 205 Credit licensing: General conduct obligations
RG 206 Credit licensing: Competence and training
RG 208 How ASIC charges fees for credit relief applications
RG 209 Credit licensing: Responsible lending conduct
RG 210 Compensation and insurance arrangements for credit licensees
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