Scheme compliance plans

Regulatory Guide 132 Managed investments: Compliance plans gives you guidance on how to prepare a compliance plan for a managed investment scheme. It includes, as an annexure, illustrative guidance on what might be included in a compliance plan.

Download RG 132

Commentaries


You may prepare more effective compliance plans after you've read our commentaries, which summarise the better plans we've received over the last two years from the managed investments industry. Read our comments and examples when preparing your next plan. Download a copy of our commentaries on compliance plans for:

RG 116 Commentary on compliance plans: Agricultural industry schemes
RG 117 Commentary on compliance plans: Financial asset schemes
RG 118 Commentary on compliance plans: Contributory mortgage schemes
RG 119 Commentary on compliance plans: Pooled mortgage schemes
RG 120 Commentary on compliance plans: Property schemes

Auditing compliance plans

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Last updated: 26/10/2017 12:49