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• Consultation Updated: 24/07/2025CS-026 Proposed update to RG 183
• Form Updated: 17/07/2025FS71 Auditor’s report for Australian financial services licensee
• Consultation Updated: 14/07/2025CS-020 Proposed remake of basic deposit and general insurance product distribution legislative instrument
• Consultation Updated: 14/07/2025CS-021 Proposed remake of deposit product disclosure relief instrument
• Form Updated: 8/07/2025FS06 Appointment of an auditor of an Australian financial services licensee
• Form Updated: 3/07/2025FS08 Application for consent from ASIC to resign as an auditor of an Australian financial services licensee
• Consultation Updated: 27/06/2025CS-016 Reportable situations – additional relief
• Form Updated: 26/06/2025Cancel an Australian financial services licence
• Form Updated: 26/06/2025FS20 Notify change of details of an Australian financial services licence
• Form Updated: 26/06/20255201 Application for registration of a corporate collective investment vehicle
• Form Updated: 26/06/20255230 Notification of appointment of auditor for a corporate collective investment vehicle
• Form Updated: 26/06/2025Notify change of control of an Australian financial services licence
• Form Updated: 26/06/2025Notify change of responsible manager of an Australian financial services licence
• Form Updated: 25/06/20255284 Change of address of corporate collective investment vehicle
• Form Updated: 25/06/2025FS01 Apply for an Australian financial services licence
• Form Updated: 25/06/2025FS03 Vary authorisations and conditions of an Australian financial services licence
• Form Updated: 25/06/2025FS70 Submit Australian financial services licence annual financial statements
• Form Updated: 25/06/2025CR762 Application for approval of guarantees under Regulation 7.6.02AAA(3)(B)
• Form Updated: 25/06/2025FS03X Application to vary the authorisation conditions and other conditions of an Australian financial services licence
• Form Updated: 25/06/2025FS10 Application for exemption from or modification of FSR provisions
• Form Updated: 25/06/2025FS11 Application for exemption FSL requirements
• Form Updated: 25/06/2025FS13 Application for exemption from or modification of FSR provisions
• Form Updated: 25/06/2025FS14 Application for exemption from or modification of FSR provisions
• Form Updated: 25/06/2025FS15 Application for exemption from or modification of FSR provisions
• Form Updated: 25/06/2025FS75 Annual Accounts for Foreign ADI
• Form Updated: 25/06/2025FS88 PDS in-use notice
• Form Updated: 25/06/2025FS89 Notice of change to fees and charges in a PDS
• Form Updated: 25/06/2025FS90 Notice that a product in a PDS has ceased to be available
• Form Updated: 25/06/2025145 Application for registration of disclosure statement (demutualisation)
• Form Updated: 25/06/2025131 Notice of meeting or consent process (demutualisation)
• Form Updated: 25/06/20255203 Notice of change to retail or wholesale status for a corporate collective investment vehicle
• Form Updated: 25/06/20255207 Notification of change of corporate director of a corporate collective investment vehicle
• Form Updated: 25/06/20255208 Notification of appointment of a temporary corporate director of a corporate collective investment vehicle
• Form Updated: 25/06/20255209 Notification of request by temporary corporate director to add new corporate director of a corporate collective investment vehicle
• Form Updated: 25/06/20255211 Compliance plan audit report of a corporate collective investment vehicle
• Form Updated: 25/06/20255212 Application for consent from ASIC to remove compliance plan auditor of a corporate collective investment vehicle
• Form Updated: 25/06/20255233 Notification of resignation, removal, or cessation of auditor of a CCIV
• Form Updated: 25/06/20255288 PDS in–use notice in relation to a CCIV sub-fund
• Form Updated: 25/06/20255289 Notice of change to fees and charges in a PDS relating to a CCIV sub-fund
• Form Updated: 25/06/20255290 Notice that a product in a PDS relating to a CCIV sub-fund has ceased to be available
• Form Updated: 25/06/20255299 Notification of half yearly reports of a corporate collective investment vehicle (CCIV)
• Form Updated: 25/06/20255298 Copy of financial statements and reports of a corporate collective investment vehicle (CCIV)
• Information sheet Updated: 20/06/2025INFO-274 Tips for giving self-managed superannuation fund advice
• Information sheet Updated: 20/06/2025INFO-225 Crypto-assets
• Information sheet Updated: 20/06/2025INFO-157 Foreign financial services providers: Licensing relief
• Information sheet Updated: 20/06/2025INFO-093 Practical guidance for operators of foreign collective investment schemes
• Regulatory guide Updated: 18/06/2025RG-001 Applying for and varying an AFS licence
• Form Updated: 16/06/2025FS07 Notify ASIC or apply to ASIC about Australian financial services licensee auditor appointments
• Information sheet Updated: 16/06/2025INFO-156 Regulated emissions units: Applying for or varying an AFS licence
• Information sheet Updated: 16/06/2025INFO-253 Claims handling and settling: How to comply with your AFS licence obligations
• Information sheet Updated: 16/06/2025INFO-251 AFS licensing requirement for trustees of unregistered managed investment schemes
• Information sheet Updated: 16/06/2025INFO-243 Licensing requirements for providers of funeral expenses facilities
• Information sheet Updated: 16/06/2025INFO-294 FAQs: AFS licence applications
• Information sheet Updated: 16/06/2025INFO-134 Complying with your obligations if both credit licensee and AFS licensee
• Information sheet Updated: 16/06/2025INFO-100 Margin lending: Getting or varying an AFS licence
• Information sheet Updated: 16/06/2025INFO-086 How do RSE and AFS licensing application processes work together?
• Regulatory guide Updated: 16/06/2025RG-262 Crowd-sourced funding: Guide for intermediaries
• Regulatory guide Updated: 16/06/2025RG-176 Foreign financial services providers
• Regulatory guide Updated: 16/06/2025RG-166 AFS licensing: Financial requirements
• Regulatory guide Updated: 16/06/2025RG-121 Doing financial services business in Australia
• Regulatory guide Updated: 16/06/2025RG-105 AFS licensing: Organisational competence
• Regulatory guide Updated: 16/06/2025RG-003 AFS Licensing Kit: Part 3 – Preparing your additional proofs
• Regulatory guide Updated: 16/06/2025RG-002 AFS Licensing Kit: Part 2 – Preparing your AFS licence or variation application
• Information sheet Updated: 5/06/2025INFO-286 FAQs: Ongoing fee arrangements and consents
• Consultation Updated: 20/05/2025CS-019 Proposed remake of incidental retail cover legislative instrument
• Form Updated: 13/05/20255202 Application for registration of a sub-fund of a corporate collective investment vehicle
• Form Updated: 13/05/20255240 Notification of proposed change of name of a corporate collective investment vehicle sub-fund
• Form Updated: 13/05/20255232 Application for consent from ASIC for resignation or removal of auditor for corporate collective investment vehicle
• Form Updated: 13/05/20255231 Application for appointment of auditor by member of a corporate collective investment vehicle
• Form Updated: 13/05/20255214 Notification of request by corporate director to change compliance plan auditor of a corporate collective investment vehicle
• Form Updated: 13/05/20255213 Application for consent from ASIC to resign as compliance plan auditor of a corporate collective investment vehicle
• Form Updated: 13/05/20255210 Application for voluntary deregistration of a sub-fund of a CCIV
• Consultation Updated: 8/05/2025CP-382 Low cost credit contracts
• Consultation Updated: 10/04/2025CP-383 Reportable situations and internal dispute resolution data publication
• Information sheet Updated: 4/04/2025INFO-260 Timeframe for passing the financial adviser exam
• Information sheet Updated: 3/04/2025INFO-088 Notifying ASIC of the appointment of an AFS authorised representative
• Information sheet Updated: 2/04/2025INFO-091 Who can be an authorised representative of an AFS licensee
• Information sheet Updated: 2/04/2025INFO-276 Registration for relevant providers
• Information sheet Updated: 2/04/2025INFO-277 Registration of relevant providers: Guidance on making declarations
• Information sheet Updated: 2/04/2025INFO-281 Accessing the experienced provider pathway
• Information sheet Updated: 2/04/2025INFO-268 Relevant providers who provide tax (financial) advice services
• Information sheet Updated: 2/04/2025INFO-250 Giving AFS and credit licensees information about their representatives
• Information sheet Updated: 2/04/2025INFO-270 Warnings and reprimands
• Information sheet Updated: 2/04/2025INFO-273 FSCP decisions: Your rights
• Consultation Updated: 28/03/2025CS-013 Extending relief for business introduction services
• InstrumentRegistered: 27/03/2025ASIC Corporations (Repeal) Instrument 2025/182
• InstrumentRegistered: 26/03/2025ASIC Corporations (Repeal) Instrument 2025/170
• InstrumentRegistered: 26/03/2025ASIC Corporations (Employee Incentive Schemes—Ongoing Relief) Instrument 2025/169
• Information sheet Updated: 24/03/2025INFO-213 Marketplace lending (peer-to-peer lending) products
• Report Updated: 20/03/2025REP-808 Response to submissions on CP 379 ASIC CS Services Rules
• Consultation Updated: 10/03/2025CP-378 Safeguard mechanism reforms: Updates to RG 236
• Report Updated: 5/03/2025REP-804 ASIC enforcement and regulatory update: July to December 2024
• Information sheet Updated: 5/03/2025INFO-264 FAQs: Design and distribution obligations for advice licensees and financial advisers
• Information sheet Updated: 5/03/2025INFO-218 Disputes about life insurance
• Information sheet Updated: 4/03/2025INFO-210 Unfair contract term protections for consumers
• Report Updated: 26/02/2025REP-807 Evaluating the state of the Australian public equity market: Evidence from data and academic literature
• Consultation Updated: 24/02/2025CP-379 ASIC CS Services Rules
• Regulatory guide Updated: 13/02/2025RG-051 Applications for relief
• Regulatory guide Updated: 13/02/2025RG-021 How ASIC charges fees for relief applications
• Information sheet Updated: 5/02/2025INFO-285 Buy now pay later credit contracts: Credit licensing
• Information sheet Updated: 27/01/2025INFO-174 Disputes with financial firms
• Information sheet Updated: 27/01/2025INFO-176 What to do if you are dissatisfied with a decision by the Australian Financial Complaints Authority
• Information sheet Updated: 16/01/2025INFO-291 FAQs: FSGs and website disclosure information
• Consultation Updated: 8/01/2025CS-010 Proposed extension of breach reporting and record-keeping legislative instruments
• Regulatory guide Updated: 7/01/2025RG-246 Conflicted and other banned remuneration
• Regulatory guide Updated: 18/12/2024RG-175 AFS licensing: Financial product advisers—Conduct and disclosure
• Information sheet Updated: 17/12/2024INFO-082 Apply for relief
• Report Updated: 5/12/2024REP-802 Cause for complaint: Complaints handling in general insurance
• Consultation Updated: 3/12/2024CP-381 Updates to INFO 225: Digital assets: Financial products and services
• Report Updated: 2/12/2024REP-801 Insights from internal dispute resolution data reporting: July 2023 to June 2024
• Regulatory guide Updated: 1/12/2024RG-248 Litigation schemes and proof of debt schemes: Managing conflicts of interest
• Information sheet Updated: 1/12/2024INFO-287 FAQs: Non-ongoing fee requests or consents
• Regulatory guide Updated: 25/11/2024RG-268 Licensing regime for financial benchmark administrators
• Regulatory guide Updated: 25/11/2024RG-249 Derivative trade repositories
• Information sheet Updated: 21/11/2024INFO-292 FAQs: Informed consents for insurance commissions
• Regulatory guide Updated: 21/11/2024RG-126 Compensation and insurance arrangements for AFS licensees
• Information sheet Updated: 21/11/2024INFO-228 Limited AFS licensees: Advice conduct and disclosure obligations
• Information sheet Updated: 21/11/2024INFO-266 FAQs: Records of Advice (ROAs)
• Information sheet Updated: 21/11/2024INFO-267 Tips for giving limited advice
• Information sheet Updated: 21/11/2024INFO-141 Dealing and providing custodial or depository service as secondary service
• InstrumentRegistered: 21/11/2024ASIC Corporations (Amendment) Instrument 2024/883
• Information sheet Updated: 11/11/2024INFO-230 Exchange traded products: Admission guidelines
• Report Updated: 31/10/2024REP-800 Insights from the reportable situations regime: July 2023 to June 2024
• Report Updated: 28/10/2024REP-798 Beware the gap: Governance arrangements in the face of AI innovation
• InstrumentSuperseded: 26/03/2025ASIC Corporations (Amendment) Instrument 2024/809
• Information sheet Updated: 23/10/2024INFO-290 Resignation and removal of auditors of Australian financial services
• Regulatory guide Updated: 21/10/2024RG-277 Consumer remediation
• Information sheet Updated: 15/10/2024INFO-275 Infringement notices: Your rights
• Regulatory guide Updated: 14/10/2024RG-263 Financial Services and Credit Panel
• Report Updated: 11/10/2024REP-797 Licensing and professional registration activities: 2024 update
• InstrumentRegistered: 8/10/2024ASIC Corporations (Amendment) Instrument 2024/806
• Information sheet Updated: 4/10/2024INFO-280 FAQs: Non-ongoing fee consents
• Information sheet Updated: 4/10/2024INFO-256 FAQs: Ongoing fee arrangements
• InstrumentSuperseded: 12/02/2025ASIC Corporations (Amendment) Instrument 2024/618
• InstrumentSuperseded: 12/02/2025ASIC Corporations and Credit (Repeal) Instrument 2024/507
• InstrumentRegistered: 24/09/2024ASIC Corporations (Record-Keeping Requirements for Australian Financial Services Licensees when Giving Personal Advice) Instrument 2024/508
• InstrumentRegistered: 24/09/2024ASIC Corporations and Credit (Breach Reporting—Reportable Situations) Instrument 2024/620
• Report Updated: 10/09/2024REP-795 Design and distribution obligations: Compliance with the reasonable steps obligation
• Report Updated: 9/09/2024REP-794 ASIC enforcement and regulatory update: January to June 2024
• Report Updated: 20/08/2024REP-790 Anti-scam practices of banks outside the four major banks
• Information sheet Updated: 19/08/2024INFO-257 ASIC reference checking and information sharing protocol
• InstrumentRegistered: 19/08/2024ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2024/647
• InstrumentSuperseded: 21/11/2024ASIC Corporations and Credit (Repeal) Instrument 2024/648
• Report Updated: 9/08/2024REP-782 Hardship, hard to get help: Findings and actions to support customers in financial hardship
• InstrumentSuperseded: 5/11/2024ASIC Corporations (Amendment) Instrument 2024/497
• Consultation Updated: 5/08/2024CP-368 Remaking ASIC class orders: [CO 13/519] and [CO 13/656]
• Consultation Updated: 5/08/2024CP-369 Remaking ASIC class orders on platforms: [CO 13/762] and [CO 13/763]
• Consultation Updated: 5/08/2024CP-374 Remaking ASIC class order on exchange traded funds: [CO 13/721]
• Report Updated: 5/08/2024REP-788 Credit card lending in Australia: Staying in control
• InstrumentSuperseded: 5/11/2024ASIC Corporations (Amendment) Instrument 2024/630
• Information sheet Updated: 16/07/2024INFO-259 Complying with the notify, investigate and remediate obligations
• Information sheet Updated: 16/07/2024INFO-202 Disputes about the financial advisers register
• Consultation Updated: 16/07/2024CP-359 Update to RG 263 Financial Services and Credit Panel
• Consultation Updated: 16/07/2024CP-335 Consumer remediation: Update to RG 256
• Consultation Updated: 16/07/2024CP-333 Implementing the Royal Commission recommendations: Reference checking and information sharing
• Consultation Updated: 16/07/2024CP-332 Promoting access to affordable advice for consumers
• Consultation Updated: 16/07/2024CP-329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure
• Consultation Updated: 16/07/2024CP-284 Example Statement of Advice for life insurance: Update to RG 90
• Consultation Updated: 16/07/2024CP-254 Regulating digital financial product advice
• Consultation Updated: 16/07/2024CP-247 Client review and remediation programs and update to record-keeping requirements
• Report Updated: 16/07/2024REP-627 Financial advice: What consumers really think
• Report Updated: 16/07/2024REP-614 Financial advice: Mind the gap
• Report Updated: 16/07/2024REP-562 Financial advice: Vertically integrated institutions and conflicts of interest
• Report Updated: 16/07/2024REP-515 Financial advice: Review of how large institutions oversee their advisers
• Report Updated: 16/07/2024REP-449 Overview of decisions on relief applications (February to May 2015)
• Regulatory guide Updated: 15/07/2024RG-162 Internet discussion sites
• Report Updated: 15/07/2024REP-785 Better banking for Indigenous consumers
• Regulatory guide Updated: 11/07/2024RG-279 Financial Accountability Regime: Information for accountable entities
• Instrument - rulesSuperseded: 5/11/2024Financial Accountability Regime Regulator Rules Amendment Instrument No. 1 of 2024
• Report Updated: 1/07/2024REP-784 Industry update: Pulse check on retirement income covenant implementation
• InstrumentRegistered: 27/06/2024ASIC Corporations (Approval of February 2025 Banking Code of Practice) Instrument 2024/523
• InstrumentSuperseded: 1/03/2025ASIC Corporations (Revocation of Approval of March 2020 Banking Code of Practice) Instrument 2024/522
• Information sheet Updated: 26/06/2024INFO-283 Supervising your representatives’ business communications
• InstrumentSuperseded: 13/09/2025ASIC Corporations (Amendment) Instrument 2024/276
• Report Updated: 20/05/2024REP-783 Hardship, hard to get help: Lenders fall short in financial hardship support
• Information sheet Updated: 15/05/2024INFO-282 Unsolicited contact leading to financial advice
• Report Updated: 8/05/2024REP-781 Review of superannuation trustee practices: Protecting members from harmful advice charges
• Instrument - notifiable instrumentsRegistered: 1/05/2024ASIC Corporations (L’Oréal SA Employee Share Scheme Disclosure) Instrument 2024/296
• Instrument - notifiable instrumentsRegistered: 24/04/2024ASIC Corporations (IPH Limited Employee Share Scheme Disclosure) Instrument 2024/293
• Form Updated: 4/04/2024397 Notification of directors resolution under s324DAC
• Regulatory guide Updated: 28/03/2024RG-038 The hawking prohibition
• Regulatory guide Updated: 28/03/2024RG-169 Hawking and disclosure: Discretionary powers
• InstrumentSuperseded: 15/08/2024ASIC Corporations (Amendment) Instrument 2024/146
• Information sheet Updated: 7/03/2024INFO-272 How to register a corporate collective investment vehicle and sub-fund
• Information sheet Updated: 7/03/2024INFO-271 How to avoid greenwashing when offering or promoting sustainability-related products
• Information sheet Updated: 7/03/2024INFO-265 Reports of suspicious activity in FICC markets
• Information sheet Updated: 7/03/2024INFO-239 How ASIC handles whistleblower reports
• Information sheet Updated: 7/03/2024INFO-226 Complying with the ASIC Client Money Reporting Rules 2017
• Information sheet Updated: 7/03/2024INFO-219 Evaluating distributed ledger technology
• Information sheet Updated: 7/03/2024INFO-216 AFS licensing requirements for accountants who provide SMSF services
• Information sheet Updated: 7/03/2024INFO-161 Disputes about goods and non-financial services
• Information sheet Updated: 7/03/2024INFO-143 Credit rating agencies -guidance on certain AFS licence conditions
• Consultation Updated: 6/03/2024CP-373 Proposed changes to the Banking Code of Practice
• Report Updated: 3/03/2024REP-780 ASIC enforcement and regulatory update: October to December 2023
• InstrumentRegistered: 29/02/2024ASIC Corporations (AFCA Regulatory Requirement) Instrument 2024/60
• Information sheet Updated: 21/02/2024INFO-262 FAQs: COVID-19 information for advice licensees and financial advisers (withdrawn)
• Report Updated: 21/02/2024REP-779 Superannuation and choice products: What focus is there on performance?
• Consultation Updated: 7/02/2024CP-307 Remaking ASIC class order on warrants: Out-of-use notices—[CO 08/781]
• Consultation Updated: 7/02/2024CP-310 Review of the ePayments Code: Scope of the review
• Consultation Updated: 7/02/2024CP-317 Unsolicited telephone sales of direct life insurance and consumer credit insurance
• Consultation Updated: 7/02/2024CP-321 Whistleblower policies
• Consultation Updated: 7/02/2024CP-323 Review of school banking programs
• Consultation Updated: 7/02/2024CP-324 Product intervention: The sale of add-on financial products through caryard intermediaries
• Consultation Updated: 7/02/2024CP-325 Product design and distribution obligations
• Consultation Updated: 7/02/2024CP-358 Remaking ASIC relief on PDSs, superannuation dashboards and FSGs
• Consultation Updated: 7/02/2024CP-360 Corporate collective investment vehicles: Preparing for the commencement of the new regime
• Report Updated: 7/02/2024REP-602 Overview of decisions on relief applications (April 2018 to September 2018)
• Report Updated: 7/02/2024REP-650 Overview of licensing and professional registration applications: July 2018 to June 2019
• Report Updated: 7/02/2024REP-611 Overview of licensing and professional registration applications: July 2017 to June 2018
• Report Updated: 7/02/2024REP-612 ASIC regulation of corporate finance: July to December 2018
• Report Updated: 7/02/2024REP-615 ASIC enforcement update July to December 2018
• Report Updated: 7/02/2024REP-617 Survey of marketplace lending providers
• Report Updated: 7/02/2024REP-620 Overview of decisions on relief applications (October 2018 to March 2019)
• Report Updated: 7/02/2024REP-621 Roadblocks and roundabouts: A review of car insurance claim investigations
• Report Updated: 7/02/2024REP-622 Consumer credit insurance: Poor value products and harmful sales practices
• Report Updated: 7/02/2024REP-625 ASIC enforcement update - January to June 2019
• Report Updated: 7/02/2024REP-626 Consumer harm from OTC binary options and CFDs
• Report Updated: 7/02/2024REP-630 ASIC regulation of corporate finance: January to June 2019
• Report Updated: 7/02/2024REP-633 Holes in the safety net: a review of TPD insurance claims
• Report Updated: 7/02/2024REP-635 Response to submissions on CP 321 Whistleblower policies
• Report Updated: 7/02/2024REP-661 Response to submissions on CP 313 Product intervention power
• Report Updated: 6/02/2024REP-666 ASIC enforcement update January to June 2020
• Report Updated: 6/02/2024REP-699 ASIC enforcement update January to June 2021
• Report Updated: 6/02/2024REP-772 Licensing and professional registration activities: 2023 update
• Report Updated: 6/02/2024REP-738 Licensing and professional registration activities: 2022 update
• Report Updated: 6/02/2024REP-700 Licensing and professional registration activities: 2021 update
• Report Updated: 6/02/2024REP-673 Consumer engagement in insurance in super
• Report Updated: 6/02/2024REP-689 Response to submissions on CP 336 Financial requirements: Treatment of lease assets
• Report Updated: 6/02/2024REP-697 ASIC quarterly update April to June 2021
• Report Updated: 6/02/2024REP-698 Response to submissions on CP 340 Breach reporting and related obligations
• Report Updated: 6/02/2024REP-704 ASIC quarterly update: July to September 2021
• Report Updated: 6/02/2024REP-707 Response to submissions on CP 335 Consumer remediation: Update to RG 256
• Report Updated: 6/02/2024REP-717 ASIC quarterly update: October to December 2021
• Report Updated: 6/02/2024REP-722 ASIC enforcement update July to December 2021
• Report Updated: 6/02/2024REP-725 ASIC quarterly update: January to March 2022
• Report Updated: 6/02/2024REP-734 Response to submissions on CP 359 Update to RG 263 Financial Services and Credit Panel
• Report Updated: 6/02/2024REP-740 Insights from the reportable situations regime: October 2021 to June 2022
• Report Updated: 6/02/2024REP-753 ASIC enforcement and regulatory update: July to September 2022
• Report Updated: 6/02/2024REP-767 ASIC enforcement and regulatory update: April to June 2023
• Information sheet Updated: 23/01/2024INFO-052 Guidance for whistleblowers
• Regulatory guide Updated: 23/01/2024RG-270 Whistleblower policies
• Regulatory guide Updated: 23/01/2024RG-278 ADIs: Transitioning to the Financial Accountability Regime
• Report Updated: 21/01/2024REP-690 ASIC quarterly update: January to March 2021
• InstrumentRegistered: 5/01/2024ASIC Corporations (Product Intervention Order Extension—Short Term Credit) Instrument 2023/956
• InstrumentRegistered: 5/01/2024ASIC Corporations (Product Intervention Order Extension—Continuing Credit Contracts) Instrument 2023/957
• InstrumentSuperseded: 1/10/2024ASIC Corporations (Land Holding for Primary Production Schemes) Instrument 2024/15
• InstrumentSuperseded: 16/08/2024ASIC Corporations (Repeal) Instrument 2024/19
• InstrumentSuperseded: 4/07/2024ASIC Corporations (Repeal) Instrument 2024/148
• Form Updated: 4/12/2023FS78 Application for foreign financial services provider for reliance on CO 03/1099 - 04/1313
• Form Updated: 4/12/2023FS05 Preliminary application for an Australian financial services licence
• Report Updated: 15/11/2023REP-777 ASIC enforcement and regulatory update: July to September 2023
• Instrument - notifiable instrumentsRegistered: 7/11/2023ASIC Corporations (OVHcloud Employee Share Scheme Disclosure) Instrument 2023/826
• Consultation Updated: 6/11/2023CS-004 Extending relief from disclosure and reporting consistency obligations for super trustees
• Consultation Updated: 2/11/2023CP-301 Foreign financial services providers
• Report Updated: 1/11/2023REP-686 Competition in funds management
• Report Updated: 31/10/2023REP-775 Insights from the reportable situations regime: July 2022 to June 2023
• Report Updated: 16/10/2023REP-773 Response to submissions on CP 365 Remaking ASIC class orders on takeovers, compulsory acquisitions and relevant interests
• Instrument - notifiable instrumentsRegistered: 10/10/2023ASIC Corporations (SPIE SA Employee Share Scheme Disclosure) Instrument 2023/761
• InstrumentRegistered: 11/09/2023ASIC Corporations (Discretions for Setting the Issue Price and Withdrawal Price of Interests in Managed Investment Schemes) Instrument 2023/693
• InstrumentRegistered: 11/09/2023ASIC Corporations (Equality of Treatment Impacting on the Acquisition of Scheme Interests and CCIV Shares) Instrument 2023/697
• Report Updated: 7/09/2023REP-769 Response to submissions on CP 367 Remaking ASIC class orders on financial requirements
• Report Updated: 5/09/2023REP-770 Design and distribution obligations: Retail OTC derivatives
• InstrumentRegistered: 31/08/2023ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023/647
• InstrumentRegistered: 31/08/2023ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023/648
• InstrumentRegistered: 31/08/2023ASIC Corporations (Investor Directed Portfolio Services Provided Through a Registered Managed Investment Scheme) Instrument 2023/668
• InstrumentRegistered: 31/08/2023ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023/669
• Regulatory guide Updated: 17/08/2023RG-040 Good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
• Report Updated: 15/08/2023REP-768 Navigating the storm: ASIC's review of home insurance claims
• Consultation Updated: 15/08/2023CS-001 Extending design and distribution obligations instrument
• Regulatory guide Updated: 15/08/2023RG-020 Disclosure of convictions and proceedings (withdrawn)
• Regulatory guide Updated: 15/08/2023RG-033 Security deposits (withdrawn)
• Regulatory guide Updated: 15/08/2023RG-039 Licensed investment advisers: Security deposit (withdrawn)
• Regulatory guide Updated: 15/08/2023RG-139 Approval and oversight of external dispute resolution schemes (withdrawn)
• Regulatory guide Updated: 15/08/2023RG-147 Mutuality: Financial institutions (withdrawn)
• Report Updated: 17/07/2023REP-766 Implementation of the retirement income covenant: Findings from the APRA and ASIC thematic review
• Information sheet Updated: 3/07/2023INFO-153 How ASIC deals with reports of misconduct
• Information sheet Updated: 3/07/2023INFO-238 Whistleblower rights and protections
• Report Updated: 23/06/2023REP-765 When the price is not right: Making good on insurance pricing promises
• InstrumentRegistered: 9/06/2023ASIC Corporations (Confirming Transactions—Deceased Life Insurance Policyholder) Instrument 2023/437
• InstrumentRegistered: 9/06/2023ASIC Corporations (Confirming Transactions—Recurring Insurance Benefit Payments) 2023/438
• Regulatory guide Updated: 30/05/2023RG-269 Approval and oversight of compliance schemes for financial advisers (withdrawn)
• Report Updated: 24/05/2023REP-600 Review of buy now pay later arrangements
• Report Updated: 11/05/2023REP-764 ASIC enforcement and regulatory update: January to March 2023
• Instrument - notifiable instrumentsSuperseded: 30/11/2023ASIC Corporations (CG HoldCo Pty Ltd Employee Share Scheme Disclosure) Instrument 2023/354
• Report Updated: 3/05/2023REP-762 Design and distribution obligations: Investment products
• Report Updated: 20/04/2023REP-761 Scam prevention, detection and response by the four major banks
• Instrument - notifiable instrumentsSuperseded: 31/05/2023ASIC Corporations (Superannuation Payment Facility) Instrument 2023/271
• InstrumentRegistered: 15/03/2023ASIC Corporations (Design and Distribution Obligations—Reissued Life Policies Class Exemption) Instrument 2023/183
• Information sheet Updated: 9/03/2023INFO-227 What can limited AFS licensees do?
• Consultation Updated: 3/03/2023CP-367 Remaking ASIC class orders on financial requirements: [CO 13/760], [CO 13/761] and ASIC Instrument 2022/449
• Report Updated: 2/03/2023REP-758 Good practices for handling whistleblower disclosures
• Information sheet Updated: 1/03/2023INFO-155 Shorter PDSs—Complying with requirements for superannuation products, simple managed investment schemes and simple sub-fund products
• Report Updated: 15/02/2023REP-757 ASIC enforcement and regulatory update: October to December 2022
• Consultation Updated: 1/02/2023CP-345 Litigation funding schemes: Guidance and relief
• Report Updated: 17/01/2023REP-756 Review of small business restructuring process
• InstrumentSuperseded: 17/11/2023ASIC Corporations (Amendment and Repeal) Instrument 2023/649
• InstrumentSuperseded: 17/11/2023ASIC Corporations (Amendment and Repeal) Instrument 2023/670
• InstrumentSuperseded: 30/03/2023ASIC Corporations (Amendment) Instrument 2023/2
• InstrumentSuperseded: 30/03/2023ASIC Corporations (Amendment) Instrument 2023/24
• InstrumentSuperseded: 21/06/2023ASIC Corporations (Amendment) Instrument 2023/160
• InstrumentSuperseded: 8/08/2023ASIC Corporations (Amendment) Instrument 2023/282
• InstrumentSuperseded: 8/11/2023ASIC Corporations (Amendment) Instrument 2023/588
• InstrumentSuperseded: 30/11/2023ASIC Corporations (Amendment) Instrument 2023/706
• InstrumentSuperseded: 8/02/2024ASIC Corporations (Amendment) Instrument 2023/730
• InstrumentSuperseded: 26/03/2024ASIC Corporations (Amendment) Instrument 2023/876
• InstrumentSuperseded: 15/02/2024ASIC Corporations and Credit (Amendment) Instrument 2023/589
• InstrumentSuperseded: 8/08/2023ASIC Corporations and Credit (Repeal) Instrument 2023/131
• InstrumentSuperseded: 8/02/2024ASIC Corporations, Credit and Superannuation (Amendment and Repeal) Instrument 2023/699
• InstrumentSuperseded: 15/09/2023ASIC Corporations and Superannuation (Amendment) Instrument 2023/512
• Report Updated: 19/12/2022REP-755 Response to submissions on CP 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation
• InstrumentRegistered: 19/12/2022ASIC Corporations (Employee Share Schemes) Instrument 2022/1021
• Report Updated: 13/12/2022REP-754 Target market determinations for small amount credit contracts
• Report Updated: 9/12/2022REP-751 Disputes and deficiencies: A review of complaints handling by superannuation trustees
• Report Updated: 9/12/2022REP-752 Review of written responses to superannuation complaints
• Report Updated: 9/12/2022REP-750 Response to submissions on CP 356 ETP naming conventions: Updates to INFO 230
• Information sheet Updated: 8/12/2022INFO-206 Advice on self-managed superannuation funds: Disclosure of costs
• Information sheet Updated: 8/12/2022INFO-205 Advice on self-managed superannuation funds: Disclosure of risks
• InstrumentRegistered: 28/11/2022ASIC Corporations (Financial Services Guides) Instrument 2022/910
• Consultation Updated: 24/11/2022CP-356 ETP naming conventions: Updates to INFO 230
• Report Updated: 25/10/2022REP-742 Managing conflicts of interest in wholesale financial markets
• Report Updated: 25/10/2022REP-741 Conduct risk in wholesale fixed income markets
• Report Updated: 18/10/2022REP-737 Response to submissions on CP 350 Consumer remediation: Further consultation
• Consultation Updated: 30/09/2022CP-357 Remaking relief for business introduction services: ASIC Instrument 2017/186
• InstrumentSuperseded: 1/04/2025ASIC Corporations (Business Introduction Services) Instrument 2022/805
• Consultation Updated: 27/09/2022CP-350 Consumer remediation: Further consultation
• Report Updated: 26/09/2022REP-471 The sale of life insurance through car dealers: Taking consumers for a ride
• InstrumentRegistered: 26/09/2022ASIC Corporations (Cash Settlement Fact Sheet and Confirming Transactions) Instrument 2022/809
• Instrument - notifiable instrumentsRegistered: 15/09/2022ASIC Corporations and Superannuation (Website Disclosure Deferral) Instrument 2022/808
• InstrumentRegistered: 7/09/2022ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705
• Consultation Updated: 6/09/2022CP-362 Extension of the binary options product intervention order
• Consultation Updated: 5/09/2022CP-322 Product intervention: OTC binary options and CFDs
• Report Updated: 5/09/2022REP-736 Response to submissions on CP 362 Extension of the binary options product intervention order
• Instrument - ordersRegistered: 5/09/2022ASIC Corporations (Product Intervention Order Extension - Binary Options) Instrument 2022/779
• Report Updated: 16/08/2022REP-733 ASIC enforcement and regulatory update: April to June 2022
• InstrumentRegistered: 15/08/2022ASIC Corporations (Incidental Retail Cover) Instrument 2022/716
• Report Updated: 11/08/2022REP-735 Retail investor research
• Consultation Updated: 30/06/2022CP-363 Remaking ASIC class order on financial requirements for retail OTC derivative issuers: [CO 12/752]
• Regulatory guide Updated: 28/06/2022RG-274 Product design and distribution obligations
• Report Updated: 23/06/2022REP-728 Response to submissions on CP 360 Corporate collective investment vehicles: Preparing for the commencement of the new regime
• Regulatory guide Updated: 23/06/2022RG-104 AFS licensing: Meeting the general obligations
• InstrumentSuperseded: 15/09/2023ASIC Corporations (Financial Services Guide Given in a Time Critical Situation) Instrument 2022/498
• Instrument - notifiable instrumentsRegistered: 1/06/2022ASIC Corporations (Law Societies—Statutory Deposit Accounts and Public Purpose Funds) Instrument 2022/436
• Instrument - notifiable instrumentsRegistered: 1/06/2022ASIC Corporations (Law Societies—Fidelity and Indemnity Schemes) Instrument 2022/435
• Instrument - notifiable instrumentsRegistered: 31/05/2022ASIC Corporations (Foreign Financial Services Provider—Queensland Fidelity and Indemnity Schemes) Instrument 2022/437
• Report Updated: 26/05/2022REP-727 Regulator Performance Framework: ASIC self-assessment 2020–21
• InstrumentSuperseded: 26/10/2022ASIC Corporations (Amendment) Instrument 2022/264
• Instrument - ordersRegistered: 11/04/2022ASIC Corporations (Product Intervention Order Extension—Contracts for Difference) Instrument 2022/259
• Report Updated: 6/04/2022REP-724 Response to submissions on CP 348 Extension of the CFD product intervention order
• Consultation Updated: 6/04/2022CP-348 Extension of the CFD product intervention order
• Report Updated: 30/03/2022REP-723 Response to submissions on CP 357 Remaking relief for business introduction services
• InstrumentRegistered: 30/03/2022ASIC Corporations (Internal Dispute Resolution Data Reporting) Instrument 2022/205
• InstrumentSuperseded: 20/03/2023ASIC Corporations (Commonwealth Financial Counselling—Financial Capability Services) Instrument 2022/221
• Instrument - notifiable instrumentsRegistered: 30/03/2022ASIC Deferred Sales Model Exemption (IAL—Business-Related Livestock Insurance) Instrument 2022/167
• Instrument - notifiable instrumentsRegistered: 30/03/2022ASIC Deferred Sales Model Exemption (TFAL—Business-Related Motor Vehicle Bailment Insurance) Instrument 2022/166
• Regulatory guide Updated: 28/03/2022RG-275 The deferred sales model for add-on insurance
• InstrumentRegistered: 27/03/2022ASIC Corporations (31-day Notice Term Deposits) Instrument 2025/172
• Information sheet Updated: 21/03/2022INFO-269 Discussing financial products and services online
• Report Updated: 10/03/2022REP-719 Response to submissions on CP 314 Market integrity rules for technological and operational resilience
• Report Updated: 10/03/2022REP-720 Response to submissions on CP 342 Proposed amendments to the ASIC market integrity rules and other ASIC-made rules
• Report Updated: 10/03/2022REP-721 Response to submissions on CP 347 Proposed amendments to the prohibition on order incentives in the ASIC market integrity rules
• Report Updated: 7/03/2022REP-718 Response to submissions on CP 341 Review of the ePayments Code: Further consultation
• InstrumentSuperseded: 15/09/2023ASIC Corporations (PDS Requirements for General Insurance Quotes) Instrument 2022/66
• Consultation Updated: 15/02/2022CP-349 Remaking ASIC class order on PDS requirements where a general insurance quote is given: [CO 11/842]
• InstrumentSuperseded: 9/02/2025ASIC Corporations (Cash Settlement Fact Sheet) Instrument 2022/59
• InstrumentSuperseded: 27/09/2022ASIC Corporations (Amendment) Instrument 2022/20
• InstrumentSuperseded: 1/04/2022ASIC Corporations (Amendment) Instrument 2022/0077
• InstrumentSuperseded: 2/01/2023ASIC Corporations (Amendment) Instrument 2022/604
• InstrumentSuperseded: 23/11/2022ASIC Corporations (Amendment) Instrument 2022/623
• InstrumentSuperseded: 16/12/2022ASIC Corporations (Amendment) Instrument 2022/719
• InstrumentSuperseded: 8/03/2023ASIC Corporations (Amendment) Instrument 2022/0940
• InstrumentSuperseded: 30/03/2023ASIC Corporations (Amendment) Instrument 2022/1022
• InstrumentSuperseded: 30/03/2023ASIC Corporations and Credit (Amendment and Repeal) Instrument 2022/1032
• InstrumentSuperseded: 20/04/2023ASIC Corporations (Commonwealth Financial Counselling—Financial Capability Services) Instrument 2022/221
• InstrumentSuperseded: 1/09/2023ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449
• InstrumentSuperseded: 27/09/2022ASIC Corporations (Repeal) Instrument 2022/65
• InstrumentSuperseded: 26/10/2022ASIC Corporations (Repeal) Instrument 2022/499
• InstrumentSuperseded: 16/12/2022ASIC Corporations (Repeal) Instrument 2022/704
• InstrumentSuperseded: 30/03/2023ASIC Corporations (Short Selling) Amendment Instrument 2022/968
• Consultation Updated: 9/12/2021CP-355 Product intervention orders: Short term credit and continuing credit contracts
• Report Updated: 6/12/2021REP-716 Cyber resilience of firms in Australia’s financial markets: 2020–21
• Report Updated: 11/11/2021REP-705 Response to submissions on CP 343 Crypto-assets as underlying assets for ETPs and other investment products
• Report Updated: 11/11/2021REP-706 Response to submissions on CP 319 and [CO 11/272] Securities lending by agents and substantial holding disclosure
• Regulatory guide Updated: 11/11/2021RG-097 Disclosing fees and costs in PDSs and periodic statements
• Report Updated: 3/11/2021REP-701 Response to submissions on CP 346 The hawking prohibition: Update to RG 38
• InstrumentRegistered: 1/10/2021ASIC Corporations (Design and Distribution Obligations Interim Measures) Instrument 2021/784
• InstrumentSuperseded: 25/09/2024ASIC Credit (Breach Reporting—Prescribed Commonwealth Legislation) Instrument 2021/801
• InstrumentRegistered: 29/09/2021ASIC Corporations (Securities Lending Arrangements) Instrument 2021/821
• Report Updated: 24/09/2021REP-702 Competition in funds management
• Consultation Updated: 23/09/2021CP-346 The hawking prohibition: Update to RG 38
• InstrumentSuperseded: 25/09/2024ASIC Corporations and Credit (Breach Reporting—Reportable Situations) Instrument 2021/716
• Report Updated: 2/08/2021REP-696 TPD insurance: Progress made but gaps remain
• InstrumentRegistered: 29/07/2021ASIC (Information under the Deferred Sales Model for Add-On Insurance) Instrument 2021/632
• Report Updated: 28/07/2021REP-695 Response to submissions on CP 339 on the deferred sales model for add-on insurance
• Consultation Updated: 28/07/2021CP-339 Implementing the Royal Commission recommendations: The deferred sales model for add-on insurance
• Report Updated: 20/07/2021REP-694 Response to submissions on CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing
• InstrumentRegistered: 20/07/2021ASIC Corporations and Credit (Reference Checking and Information Sharing Protocol) Instrument 2021/429
• Consultation Updated: 19/07/2021CP-311 Internal dispute resolution: Update to RG 165
• Report Updated: 19/07/2021REP-693 Response to submissions on ASIC’s internal dispute resolution data consultations
• Consultation Updated: 12/07/2021CP-341 Review of the ePayments Code: Further consultation
• Consultation Updated: 1/07/2021CP-344 Remaking ASIC class order on when debentures can be called secured notes: [CO 12/1482]
• Report Updated: 26/05/2021REP-583 Review of exchange traded products
• InstrumentRegistered: 28/04/2021ASIC Corporations (Licence Conditions—Treatment of Lease Assets) Instrument 2021/229
• InstrumentSuperseded: 15/04/2022ASIC Corporations (Amendment) Instrument 2021/292
• Consultation Updated: 22/04/2021CP-340 Breach reporting and related obligations
• Report Updated: 16/04/2021REP-688 ASIC enforcement update July to December 2020
• Instrument - ordersRegistered: 6/04/2021ASIC Corporations (Product Intervention Order—Binary Options) Instrument 2021/240
• Instrument - ordersRegistered: 6/04/2021ASIC Corporations (Product Intervention Order—Binary Options) Instrument 2021/240 - PDF (213 KB)
• Instrument - ordersRegistered: 6/04/2021Public notice—Product intervention order in relation to binary options - PDF (673 KB)
• Consultation Updated: 30/03/2021CP-228 Collective action by investors: Update to RG 128
• Consultation Updated: 30/03/2021CP-238 Remaking ASIC class order on employee redundancy funds: [CO 02/314]
• Consultation Updated: 30/03/2021CP-241 Remaking ASIC class orders on foreign licensees and ADIs: [CO 06/68] and [CO 03/823]
• Consultation Updated: 30/03/2021CP-246 Remaking ASIC class order on securitisation special purpose vehicles: [CO 04/1526]
• Consultation Updated: 30/03/2021CP-248 Remaking ASIC class orders on reporting by foreign entities: [CO 98/98] and [CO 02/1432]
• Consultation Updated: 30/03/2021CP-249 Remaking ASIC class order on generic financial calculators: [CO 05/1122]
• Consultation Updated: 30/03/2021CP-250 Remaking ASIC class orders on property, strata and management rights schemes
• Consultation Updated: 30/03/2021CP-251 Remaking ASIC class order on financial product advice: Exempt documents—[CO 03/606]
• Consultation Updated: 30/03/2021CP-252 Remaking ASIC class order on share and interest sale facilities: [CO 08/10]
• Consultation Updated: 30/03/2021CP-253 Remaking and repealing ASIC class orders on dollar disclosure
• Consultation Updated: 30/03/2021CP-255 Remaking ASIC class orders on financial services disclosure requirements
• Consultation Updated: 30/03/2021CP-258 Remaking ASIC class order on differential fees: [CO 03/217]
• Consultation Updated: 30/03/2021CP-259 Repealing ASIC class order on managed investment schemes: No issue required disclosure
• Consultation Updated: 30/03/2021CP-260 Further measures to facilitate innovation in financial services
• Consultation Updated: 30/03/2021CP-263 Risk management systems of responsible entities: Further proposals
• Consultation Updated: 30/03/2021CP-264 Remaking ASIC class order on nominee and custody services and proposed changes to platforms policy
• Consultation Updated: 30/03/2021CP-268 Licensing relief for foreign financial services providers with a limited connection to Australia
• Consultation Updated: 30/03/2021CP-271 Remaking and repealing ASIC class orders on internet offers, hawking and PDS obligations
• Consultation Updated: 30/03/2021CP-274 Remaking ASIC class orders on application form requirements
• Consultation Updated: 30/03/2021CP-275 Repealing ASIC class order on FSG exemption for market-making services on a licensed market: [CO 03/578]
• Consultation Updated: 30/03/2021CP-276 Registered liquidators: Registration, disciplinary actions and insurance requirements
• Consultation Updated: 30/03/2021CP-245 Retail life insurance advice reforms
• Consultation Updated: 30/03/2021CP-285 Remaking ASIC class order on disclosure relief for an offer to a director or secretary: [CO 04/899]
• Consultation Updated: 30/03/2021CP-286 Remaking ASIC class orders on mortgage offset accounts and factoring arrangements
• Regulatory guide Updated: 30/03/2021RG-066 Transaction-specific disclosure for PDSs
• Consultation Updated: 30/03/2021CP-287 Remaking ASIC class order on mortgage schemes and proposed relief for multiple withdrawal periods
• Report Updated: 30/03/2021REP-527 Response to submissions on CP 245 Retail life insurance advice reforms
• Report Updated: 30/03/2021REP-528 Responsible entities’ compliance with obligations: Findings from 2016 proactive surveillance program
• Report Updated: 30/03/2021REP-424 Review of no-claims discount schemes
• Report Updated: 30/03/2021REP-429 Cyber resilience: Health check
• Report Updated: 30/03/2021REP-431 Comparison report: Commonwealth Financial Planning Limited and Financial Wisdom Limited
• Report Updated: 30/03/2021REP-433 Overview of licensing and professional registration applications: July to December 2014
• Report Updated: 30/03/2021REP-438 Response to submissions on CP 228 Collective action by investors: Update to RG 128
• Report Updated: 30/03/2021REP-439 Snapshot of the Australian hedge funds sector
• Report Updated: 30/03/2021REP-442 Response to submissions on CP 216 Advice on SMSFs
• Report Updated: 30/03/2021REP-443 Response to submissions on CP 224 Facilitating electronic financial services disclosures
• Report Updated: 30/03/2021REP-457 Response to submissions on draft Regulatory Guide 97 Disclosing fees and costs in PDSs and periodic statements
• Report Updated: 30/03/2021REP-459 Professional indemnity insurance market for AFS licensees providing financial product advice
• Report Updated: 30/03/2021REP-467 Overview of decisions on relief applications - June to September 2015
• Report Updated: 30/03/2021REP-474 Culture, conduct and conflicts of interest in vertically integrated businesses in the funds-management industry
• Report Updated: 30/03/2021REP-477 Response to submissions on CP 249 Remaking ASIC class order on generic financial calculators: [CO 05/1122]
• Report Updated: 30/03/2021REP-478 Overview of licensing and professional registration applications: July to December 2015
• Report Updated: 30/03/2021REP-479 ASIC regulation of registered liquidators: January to December 2015
• Report Updated: 30/03/2021REP-490 Response to submissions on CP 254 Regulating digital financial product advice
• Report Updated: 30/03/2021REP-491 Response to submissions on CP 242 Remaking ASIC class orders on horse racing syndicates and horse breeding schemes
• Report Updated: 30/03/2021REP-493 Review of interest-only home loans: Mortgage brokers’ inquiries into consumers’ requirements and objectives
• Report Updated: 30/03/2021REP-495 Response to submissions on CP 207 Charitable investment fundraisers
• Report Updated: 30/03/2021REP-498 Life insurance claims: An industry review
• Report Updated: 30/03/2021REP-499 Financial advice: Fees for no service
• Report Updated: 30/03/2021REP-500 Response to submissions on CP 247 Client review and remediation programs and update to record-keeping requirements
• Report Updated: 30/03/2021REP-503 Overview of licensing and professional registration applications: January to June 2016
• Report Updated: 30/03/2021REP-504 Compliance report - Parts 1 and 2 -Commonwealth Financial Planning Limited and Financial Wisdom Limited
• Report Updated: 30/03/2021REP-506 Overview of decisions on relief applications (April to September 2016)
• Report Updated: 30/03/2021REP-508 Response to submissions on CP 260 Further measures to facilitate innovation in financial services
• Report Updated: 30/03/2021REP-519 Response to submissions on CP 268 Licensing relief for FFSPs with a limited connection to Australia
• Report Updated: 30/03/2021REP-521 Further review of emerging market issuers
• Report Updated: 30/03/2021REP-522 Response to submissions on CP 272 Remaking ASIC class orders on time-sharing schemes
• Report Updated: 30/03/2021REP-531 Review of compliance with asset holding requirements in funds management and custodial services
• Consultation Updated: 30/03/2021CP-292 Implementing the financial benchmark regulatory regime
• Consultation Updated: 30/03/2021CP-283 Remaking ASIC class order on credit union member shares: [CO 02/1176]
• Report Updated: 30/03/2021REP-536 ASIC enforcement outcomes: January to June 2017
• Report Updated: 30/03/2021REP-543 Response to feedback on REP 523 ASIC’s Innovation Hub and our approach to regulatory technology
• Consultation Updated: 30/03/2021CP-288 Crowd-sourced funding: Guide for public companies
• Consultation Updated: 30/03/2021CP-289 Crowd-sourced funding: Guide for intermediaries
• Report Updated: 30/03/2021REP-544 Response to submissions on CP 288 and CP 289 on crowd-sourced funding
• Consultation Updated: 30/03/2021CP-282 Remaking ASIC class orders on financial counselling licensing relief
• Consultation Updated: 30/03/2021CP-280 ASIC class order on wholesale equity schemes: Licensing relief for trustees—[CO 07/74]
• Report Updated: 30/03/2021REP-545 Response to submissions on CP 280 ASIC class order on wholesale equity schemes
• Consultation Updated: 30/03/2021CP-281 Financial Services Panel
• Report Updated: 30/03/2021REP-552 Response to submissions on CP 273 Repealing ASIC class orders on holding client assets
• Report Updated: 30/03/2021REP-551 Response to submissions on CP 281 Financial Services Panel
• Report Updated: 30/03/2021REP-557 Response to submissions on CP 284 Example Statement of Advice for life insurance: Update to RG 90
• Consultation Updated: 30/03/2021CP-297 Retaining ASIC’s fintech licensing exemption
• Consultation Updated: 30/03/2021CP-290 Sell-side research
• Report Updated: 30/03/2021REP-549 Compliance Report (Part 3) - Commonwealth Financial Planning Limited and Financial Wisdom Limited
• Report Updated: 30/03/2021REP-553 Overview of licensing and professional registration applications
• Report Updated: 30/03/2021REP-567 ASIC regulation of corporate finance: July to December 2017
• Report Updated: 30/03/2021REP-563 National Financial Literacy Strategy Annual Highlights Report 2016-17
• Report Updated: 30/03/2021REP-565 Unfair contract terms and small business loans
• Consultation Updated: 30/03/2021CP-272 Remaking ASIC class orders on time-sharing schemes
• Report Updated: 30/03/2021REP-578 ASIC review of proxy adviser engagement practices
• Consultation Updated: 30/03/2021CP-298 Oversight of the Australian Financial Complaints Authority: Update to RG 139
• Report Updated: 30/03/2021REP-581 Review of ASIC Regulatory Guide 97: Disclosing fees and costs in PDSs and periodic statements
• Consultation Updated: 30/03/2021CP-296 Funds management
• Report Updated: 30/03/2021REP-492 A market that is failing consumers: The sale of add-on insurance through car dealers
• Report Updated: 30/03/2021REP-582 Response to submissions on CP 296 Funds management
• Report Updated: 30/03/2021REP-584 Improved protections for deposit accounts with third-party access
• Report Updated: 30/03/2021REP-585 ASIC enforcement outcomes: January to June 2018
• Report Updated: 30/03/2021REP-586 Review of reverse mortgage lending in Australia
• Report Updated: 30/03/2021REP-587 The sale of direct life insurance
• Report Updated: 30/03/2021REP-588 Consumers’ experiences with the sale of direct life insurance
• Report Updated: 30/03/2021REP-594 Review of selected financial services groups’ compliance with the breach reporting obligation
• Report Updated: 30/03/2021REP-595 Response to submissions on CP 300 Approval and oversight of compliance schemes for financial advisers
• Report Updated: 30/03/2021REP-427 Investing in hybrid securities: Explanations based on behavioural economics
• Consultation Updated: 30/03/2021CP-305 Organisational competence requirements for advice licensees: Update to RG 105
• Report Updated: 30/03/2021REP-603 The consumer journey through the Internal Dispute Resolution process of financial service providers
• Report Updated: 30/03/2021REP-613 Compliance Report (Part 4) - Commonwealth Financial Planning Limited and Financial Wisdom Limited
• Report Updated: 30/03/2021REP-628 Looking for a mortgage: Consumer experiences and expectations in getting a home loan
• Report Updated: 30/03/2021REP-632 Disclosure: Why it shouldn’t be the default
• Consultation Updated: 30/03/2021CP-308 Review of RG 97 Disclosing fees and costs in PDSs and periodic statements
• Report Updated: 30/03/2021REP-637 Response to submissions on CP 308 Review of Regulatory Guide 97
• Report Updated: 30/03/2021REP-638 Consumer testing of the fees and costs tools for superannuation and managed investment schemes
• Report Updated: 30/03/2021REP-640 Response to submissions on CP 317 Unsolicited telephone sales of direct life insurance and consumer credit insurance
• Report Updated: 30/03/2021REP-646 Insurance in superannuation 2019–20: Industry implementation of the Voluntary Code of Practice
• Report Updated: 30/03/2021REP-647 Independent expert summary report - NULIS Nominees (Australia) Limited
• Report Updated: 30/03/2021REP-653 ASIC's regtech initiatives 2018–19
• Consultation Updated: 30/03/2021CP-315 Foreign financial services providers: Further consultation
• Report Updated: 30/03/2021REP-656 Response to submissions on CP 301 and CP 315 on foreign financial services providers
• Report Updated: 30/03/2021REP-654 Overview of decisions on relief applications (April 2019 to September 2019)
• Report Updated: 30/03/2021REP-546 Response to submissions on CP 291 Reporting rules: Derivative retail client money
• Consultation Updated: 30/03/2021CP-294 The sale of add-on insurance and warranties through caryard intermediaries
• Regulatory guide Updated: 30/03/2021RG-257 Testing fintech products and services without holding an AFS or credit licence (withdrawn)
• Report Updated: 30/03/2021REP-668 Allocations in debt capital market transactions
• Report Updated: 30/03/2021REP-671 Licensing and professional registration activities: 2020 update
• Report Updated: 30/03/2021REP-674 Response to submissions on CP 325 Product design and distribution obligations
• Report Updated: 30/03/2021REP-676 Review of school banking programs
• Report Updated: 30/03/2021REP-685 ASIC’s regtech initiatives 2019–20
• Form Updated: 30/03/2021FS12 Application for exemption - transition
• Report Updated: 25/03/2021REP-687 Response to submissions on CP 329 on advice fee consents and independence disclosure
• InstrumentRegistered: 24/03/2021ASIC Corporations (Consent to Deductions – Ongoing Fee Arrangements) Instrument 2021/124
• InstrumentRegistered: 24/03/2021ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125
• InstrumentRegistered: 11/01/2021ASIC Corporations (Approval of Variation March 2020 Banking Code of Practice) Instrument 2021/11
• InstrumentRegistered: 5/01/2021ASIC Corporations (AFCA Regulatory Requirement) Instrument 2021/0002
• InstrumentSuperseded: 24/06/2021ASIC Corporations (Amendment) Instrument 2021/116
• InstrumentSuperseded: 12/08/2021ASIC Corporations (Amendment) Instrument 2021/230
• InstrumentSuperseded: 19/10/2021ASIC Corporations (Amendment) Instrument 2021/500
• InstrumentSuperseded: 29/03/2022ASIC Corporations (Amendment) Instrument 2021/506
• InstrumentSuperseded: 26/08/2021ASIC Corporations (Amendment) Instrument 2021/510
• InstrumentSuperseded: 9/03/2022ASIC Corporations (Amendment) Instrument 2021/754
• InstrumentSuperseded: 29/03/2022ASIC Corporations (Amendment) Instrument 2021/767
• InstrumentSuperseded: 29/03/2022ASIC Corporations (Amendment) Instrument 2021/785
• InstrumentSuperseded: 29/03/2022ASIC Corporations (Amendment and Repeal) Instrument 2021/799
• InstrumentSuperseded: 29/03/2022ASIC Corporations, Credit and Superannuation (Amendment) Instrument 2021/753
• InstrumentRegistered: 14/12/2020ASIC Corporations (Design and Distribution Obligations—Exchange Traded Products) Instrument 2020/1090
• Consultation Updated: 11/12/2020CP-336 Financial requirements: Treatment of lease assets
• Instrument - ordersRegistered: 23/10/2020ASIC Corporations (Product Intervention Order—Contracts for Difference) Instrument 2020/986
• Instrument - ordersRegistered: 23/10/2020ASIC Corporations (Product Intervention Order—Contracts for Difference) Instrument 2020/986 - PDF (267 KB)
• Instrument - ordersRegistered: 23/10/2020Public intervention order notice - PDF (182 KB)
• Information sheet Updated: 26/08/2020INFO-249 Frozen funds – Information for responsible entities
• Information sheet Updated: 25/08/2020INFO-248 Enhanced regulatory sandbox
• Regulatory guide Updated: 30/07/2020RG-271 Internal dispute resolution
• Report Updated: 30/07/2020REP-665 Response to submissions on CP 311 Internal dispute resolution: Update to RG 165
• InstrumentRegistered: 30/07/2020ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution) Instrument 2020/98
• Report Updated: 23/06/2020REP-664 Overview of decisions on relief applications (October 2019 to March 2020)
• Regulatory guide Updated: 19/06/2020RG-261 Crowd-sourced funding: Guide for companies
• Regulatory guide Updated: 17/06/2020RG-272 Product intervention power
• InstrumentRegistered: 27/05/2020ASIC Corporations (Deferral of Design and Distribution Obligations) Instrument 2020/486
• InstrumentRegistered: 7/05/2020ASIC Corporations (AFCA Regulatory Requirement) Instrument 2020/0433
• Report Updated: 29/04/2020REP-660 ASIC enforcement update July to December 2019
• InstrumentSuperseded: 1/01/2021ASIC Corporations (Trading Suspensions Relief) Instrument 2020/289
• Regulatory guide Updated: 30/03/2020RG-78 Breach reporting by AFS licensees and credit licensees
• InstrumentRegistered: 10/03/2020ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198
• InstrumentRegistered: 10/03/2020ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199
• InstrumentRegistered: 21/01/2020ASIC Corporations (Conditional Costs Schemes) Instrument 2020/38
• InstrumentSuperseded: 1/12/2020ASIC Corporations (Amendment and Repeal) Instrument 2020/579
• InstrumentSuperseded: 1/09/2020ASIC Corporations (Amendment) Instrument 2020/149
• InstrumentSuperseded: 28/08/2020ASIC Corporations (Amendment) Instrument 2020/200
• InstrumentSuperseded: 1/09/2020ASIC Corporations (Amendment) Instrument 2020/242
• InstrumentSuperseded: 1/09/2020ASIC Corporations (Amendment) Instrument 2020/290
• InstrumentSuperseded: 7/10/2020ASIC Corporations (Amendment) Instrument 2020/452
• InstrumentSuperseded: 2/01/2021ASIC Corporations (Amendment) Instrument 2020/565
• InstrumentSuperseded: 1/12/2020ASIC Corporations (Amendment) Instrument 2020/635
• InstrumentSuperseded: 16/12/2022ASIC Corporations (Litigation Funding Schemes) Instrument 2020/787
• InstrumentSuperseded: 3/02/2021ASIC Corporations (Amendment) Instrument 2020/827
• InstrumentSuperseded: 3/02/2021ASIC Corporations (Amendment) Instrument 2020/853
• InstrumentSuperseded: 3/02/2021ASIC Corporations (Amendment) Instrument 2020/862
• InstrumentSuperseded: 9/03/2021ASIC Corporations (Amendment and Repeal) Instrument 2020/921
• InstrumentSuperseded: 1/01/2021ASIC Corporations and Credit (Repeal) Instrument 2020/839
• InstrumentSuperseded: 1/01/2012ASIC Corporations (Approval of Variation of March 2020 Banking Code of Practice) Instrument 2020/602
• InstrumentSuperseded: 1/01/2021ASIC Corporations (COVID-19 – Distribution of Debit Cards) Instrument 2020/401
• InstrumentSuperseded: 23/09/2020ASIC Corporations (COVID-19 Email Lodgement Service—ASIC Corporations (Wholly-owned Companies) Instrument 2016/785) Instrument 2020/612
• InstrumentSuperseded: 1/12/2020ASIC Corporations, Superannuation and Credit (Amendment) Instrument 2020/99
• InstrumentSuperseded: 1/01/2021ASIC Corporations (Banking Code of Practice Revocation of June 2019 Approval) Instrument 2019/1254
• InstrumentSuperseded: 28/02/2025ASIC Corporations (Approval of March 2020 Banking Code of Practice) Instrument 2019/1255
• Report Updated: 9/12/2019REP-643 Response to submissions on CP 309 Update to RG 209: Credit licensing: Responsible lending conduct
• Report Updated: 6/12/2019REP-642 Timeshare: Consumers’ experiences
• InstrumentRegistered: 29/11/2019ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070
• Report Updated: 28/11/2019REP-636 Compliance with the fee disclosure statement and renewal notice obligations
• InstrumentRegistered: 26/09/2019ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution—Transitional) Instrument 2019/965
• InstrumentRegistered: 28/08/2019ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547
• Consultation Updated: 26/06/2019CP-313 Product intervention power
• InstrumentSuperseded: 1/01/2021ASIC Corporations (Banking Code of Practice – Revocation of 2018 Approval) Instrument 2019/662
• InstrumentSuperseded: 1/01/2021ASIC Corporations (Approval of Banking Code of Practice) Instrument 2019/663
• Regulatory guide Updated: 1/06/2019RG-167 AFS licensing: Discretionary powers
• Report Updated: 31/05/2019REP-619 Market integrity report: July to December 2018
• InstrumentRegistered: 14/03/2019ASIC Corporations (Warrants: Out-of-use notices) Instrument 2019/148
• InstrumentSuperseded: 12/09/2019ASIC Corporations (Amendment) Instrument 2019/45
• InstrumentSuperseded: 12/09/2019ASIC Corporations (Amendment) Instrument 2019/216
• InstrumentSuperseded: 7/04/2019ASIC Corporations (Amendment) Instrument 2019/240
• InstrumentSuperseded: 17/09/2019ASIC Corporations (Amendment) Instrument 2019/599
• InstrumentSuperseded: 7/09/2019ASIC Corporations (Amendment) Instrument 2019/698
• InstrumentSuperseded: 15/12/1019ASIC Corporations (Amendment) Instrument 2019/784
• InstrumentSuperseded: 15/11/2029ASIC Corporations (Amendment) Instrument 2019/902
• InstrumentSuperseded: 6/12/2019ASIC Corporations (Amendment) Instrument 2019/933
• InstrumentSuperseded: 13/02/2020ASIC Corporations (Amendment) Instrument 2019/1037
• InstrumentSuperseded: 5/02/2020ASIC Corporations (Amendment) Instrument 2019/1056
• InstrumentSuperseded: 24/03/2020ASIC Corporations (Amendment) Instrument 2019/1071
• InstrumentSuperseded: 25/02/2020ASIC Corporations (Amendment) Instrument 2019/1145
• InstrumentSuperseded: 1/10/2029ASIC Corporations (Amendment and Repeal) Instrument 2019/548
• InstrumentSuperseded: 5/10/2021ASIC Corporations (Hawking—Life Risk Insurance and Consumer Credit Insurance) Instrument 2019/839
• InstrumentSuperseded: 12/09/2019ASIC Corporations (Repeal) Instrument 2019/147
• InstrumentSuperseded: 6/12/2019ASIC Corporations (Repeal) Instrument 2019/874
• InstrumentSuperseded: 12/09/2019ASIC (Fees—Complexity Criteria) Amendment Instrument 2019/130
• Regulatory guide Updated: 20/09/2018RG-098 ASIC’s powers to suspend, cancel and vary AFS licences and make banning orders
• InstrumentRegistered: 20/09/2018ASIC Corporations and Credit (Transition to AFCA) Instrument 2018/814
• InstrumentRegistered: 18/09/2018ASIC Corporations (Group Purchasing Bodies) Instrument 2018/751
• InstrumentRegistered: 10/09/2018ASIC Corporations (Professional Standards—Transitional) Instrument 2018/894
• InstrumentSuperseded: 1/01/2021ASIC Corporations (Banking Code of Practice) Instrument 2018/700
• Information sheet Updated: 1/08/2018INFO-232 Fees for no service: Remediation
• InstrumentRegistered: 3/07/2018ASIC (Fees—Complexity Criteria) Instrument 2018/578
• InstrumentRegistered: 30/05/2018ASIC Corporations (AFCA transition) Instrument 2018/447
• InstrumentRegistered: 30/05/2018ASIC Credit (AFCA transition) Instrument 2018/448
• InstrumentRegistered: 13/03/2018ASIC Corporations (NZD Denominated Client Money) Instrument 2018/152
• InstrumentRegistered: 6/03/2018ASIC Corporations (Share and Interest Sale Facilities) Instrument 2018/99
• Regulatory guide Updated: 7/12/2017RG-090 Example Statement of Advice: Scaled advice for a new client
• InstrumentRegistered: 26/09/2017ASIC (Amendment, Repeal and Transitional) Instrument 2017/839
• InstrumentRegistered: 26/09/2017ASIC Corporations (Wholesale Equity Scheme Trustees) Instrument 2017/849
• InstrumentSuperseded: 20/04/2023ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792
• InstrumentRegistered: 20/09/2017ASIC Corporations (Financial Requirements for CSF Intermediaries) Instrument 2017/339
• InstrumentRegistered: 18/09/2017ASIC Corporations (Factoring Arrangements) Instrument 2017/794
• InstrumentRegistered: 18/09/2017ASIC Corporations (Mortgage Offset Accounts) Instrument 2017/795
• InstrumentRegistered: 23/08/2017ASIC Corporations (Disclosure Relief—Offers to Associates) Instrument 2017/737
• InstrumentRegistered: 10/07/2017ASIC Corporations (Credit Union Member Shares) Instrument 2017/616
• InstrumentRegistered: 1/06/2017ASIC Corporations (Life Insurance Commissions) Instrument 2017/510
• InstrumentRegistered: 27/03/2017ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182
• InstrumentRegistered: 23/03/2017ASIC Corporations (Repeal and Transitional) Instrument 2017/186
• InstrumentRegistered: 6/03/2017ASIC Corporations (Offers over the internet) Instrument 2017/181
• InstrumentSuperseded: 5/10/2021ASIC Corporations (Securities and Managed Investment Scheme Hawking Relief) Instrument 2017/184
• Regulatory guide Updated: 22/02/2017RG-245 Fee disclosure statements (withdrawn)
• InstrumentRegistered: 14/12/2016ASIC Corporations (Nominee and Custody Services) Instrument 2016/1156
• InstrumentRegistered: 6/12/2016ASIC Corporations (Recognised Accountants: Exempt Services) Instrument 2016/1151
• InstrumentRegistered: 16/11/2016ASIC Corporations (Updated Product Disclosure Statements) Instrument 2016/1055
• InstrumentRegistered: 16/11/2016ASIC Corporations (Joint Product Disclosure Statements) Instrument 2016/1056
• InstrumentRegistered: 15/11/2016ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109
• InstrumentRegistered: 28/09/2016ASIC Corporations (School Enrolment Deposits) Instrument 2016/812
• InstrumentRegistered: 28/09/2016ASIC Corporations (Charitable Investment Fundraising) Instrument 2016/813
• InstrumentRegistered: 27/09/2016ASIC Corporations (Dematerialised Securities: Austraclear) Instrument 2016/841
• InstrumentRegistered: 27/09/2016ASIC Corporations (Repeal and Transitional) Instrument 2016/396
• InstrumentRegistered: 23/09/2016ASIC Corporations (Exchange-Traded Derivatives: Multiple Issuers) Instrument 2016/883
• InstrumentRegistered: 23/09/2016ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886
• InstrumentRegistered: 23/09/2016ASIC Corporations (Records: Dealings on Foreign Markets) Instrument 2016/889
• InstrumentRegistered: 23/09/2016ASIC Corporations (Securities: NZ FASTER System) Instrument 2016/891
• InstrumentRegistered: 23/09/2016ASIC Corporations (Transfers of Division 3 Securities) Instrument 2016/893
• Regulatory guide Updated: 15/09/2016RG-256 Client review and remediation conducted by advice licensees
• Regulatory guide Updated: 30/08/2016RG-255 Providing digital financial product advice to retail clients
• InstrumentRegistered: 18/08/2016ASIC Corporations (Disclosure in Dollars) Instrument 2016/767
• InstrumentRegistered: 18/07/2016ASIC Corporations (Client money - Cash common funds) Instrument 2016/671
• InstrumentRegistered: 6/06/2016ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356
• InstrumentRegistered: 31/03/2016ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
• InstrumentRegistered: 31/03/2016ASIC Corporations (Securitisation Special Purpose Vehicles) Instrument 2016/272
• InstrumentRegistered: 30/03/2016ASIC Corporations (Generic Calculators) Instrument 2016/207
• InstrumentRegistered: 22/03/2016ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211
• InstrumentRegistered: 16/03/2016ASIC Corporations (Market Research and Roadshows) Instrument 2016/79
• InstrumentRegistered: 16/03/2016ASIC Corporations (Sale Offers That Do Not Need Disclosure) Instrument 2016/80
• InstrumentRegistered: 16/03/2016ASIC Corporations (Sale Offers By Controllers) Instrument 2016/81
• InstrumentRegistered: 16/03/2016ASIC Corporations (Sale Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82
• InstrumentRegistered: 16/03/2016ASIC Corporations (Offers of Convertibles) Instrument 2016/83
• InstrumentRegistered: 16/03/2016ASIC Corporations (Non-Traditional Rights Issues) Instrument 2016/84
• Report Updated: 17/12/2015REP-462 Identification Report: Commonwealth Financial Planning Limited and Financial Wisdom Limited
• InstrumentRegistered: 16/12/2015ASIC Corporations (Employee Redundancy Funds Relief) Instrument 2015/1150
• Information sheet Updated: 3/12/2015INFO-147 Credit rating agencies - lodging compliance report with ASIC
• InstrumentRegistered: 3/12/2015ASIC Corporations (Miscellaneous Technical Relief) Instrument 2015/1115
• InstrumentRegistered: 16/09/2015ASIC Corporations (Avia Syndicate) Instrument 2015/825
• InstrumentRegistered: 24/08/2015ASIC Corporations (Adara Advisors) Instrument 2015/628
• InstrumentRegistered: 24/08/2015ASIC Corporations (Advertising by Product Issuers) Instrument 2015/539
• InstrumentRegistered: 24/08/2015ASIC Corporations (Financial Services Guides) Instrument 2015/541
• InstrumentRegistered: 24/08/2015ASIC Corporations (General Advice Warning) Instrument 2015/540
• InstrumentRegistered: 27/07/2015ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647
• InstrumentRegistered: 27/07/2015ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649
• InstrumentRegistered: 27/07/2015ASIC Corporations (Basic Deposit and General Insurance Product Distribution) Instrument 2015/682
• InstrumentRegistered: 27/07/2015ASIC Corporations (Deposit Product Disclosure) Instrument 2015/683
• InstrumentRegistered: 27/05/2015ASIC Corporations (Externally-Administered Bodies) Instrument 2015/251
• Report Updated: 30/01/2015REP-421 ASIC enforcement outcomes: July to December 2014
• Report Updated: 28/01/2015REP-420 Overview of decisions on relief applications (June to September 2014)
• Consultation Updated: 14/11/2014CP-224 Facilitating electronic financial services disclosures
• Report Updated: 31/10/2014REP-417 Response to submissions on CP 218 Employee incentive schemes
• Report Updated: 28/10/2014REP-415 Review of the sale of home insurance
• Report Updated: 28/10/2014REP-416 Insuring your home: Consumers’ experiences buying home insurance
• Information sheet Updated: 20/10/2014INFO-179 Applying for a limited AFS licence
• Information sheet Updated: 20/10/2014INFO-198 Extended warranties
• Regulatory guide Updated: 20/10/2014RG-035 Collateral benefits in takeovers (withdrawn)
• Information sheet Updated: 20/10/2014INFO-094 Notification requirements for Product Disclosure Statements
• Information sheet Updated: 20/10/2014INFO-133 Shorter PDS regime -Superannuation managed investment schemes and margin lending
• Information sheet Updated: 20/10/2014INFO-099 Disclosure of credit ratings in Australia
• Report Updated: 9/10/2014REP-413 Review of retail life insurance advice
• Report Updated: 25/09/2014REP-411 Overview of decisions on relief applications (February to May 2014)
• Report Updated: 18/09/2014REP-409 Response to submissions on CP 214 Updated record-keeping obligations for AFS licensees
• Report Updated: 31/07/2014REP-402 ASIC enforcement outcomes: January to June 2014
• Report Updated: 11/07/2014REP-400 Responses to feedback on REP 384 Regulating complex products
• Report Updated: 8/07/2014REP-398 Fee and cost disclosure: Superannuation and managed investment products
• Report Updated: 31/01/2014REP-384 Regulating complex products
• Report Updated: 4/12/2013REP-377 Review of advice on retail structured products
• Report Updated: 30/08/2013REP-369 Response to submissions on CP 210 Demutualisation approval procedure rules: Minimum member participation requirement
• Regulatory guide Updated: 20/08/2013RG-036 Licensing: Financial product advice and dealing
• Consultation Updated: 19/08/2013CP-215 Assessment and approval of training courses for financial product advisers: Update to RG 146
• Consultation Updated: 31/07/2013CP-214 Updated record keeping obligations for AFS licensees
• Report Updated: 31/07/2013REP-362 Review of financial advice industry practice: Phase 2
• Regulatory guide Updated: 18/07/2013RG-236 Do I need an AFS licence to participate in carbon markets?
• Report Updated: 4/07/2013REP-353 Further review of term deposits
• Consultation Updated: 11/06/2013CP-210 Demutualisation approval procedure rules: Minimum member participation requirement
• Report Updated: 1/05/2013REP-341 Retail investor research into structured capital protected and capital guaranteed investments
• Report Updated: 1/05/2013REP-340 Capital protected and capital guaranteed retail structured products
• Report Updated: 18/04/2013REP-337 SMSFs: Improving the quality of advice given to investors
• Report Updated: 4/03/2013REP-328 Response to submissions on CP 189 Future of Financial Advice: Conflicted remuneration
• Regulatory guide Updated: 1/03/2013RG-183 Approval of financial services sector codes of conduct
• Report Updated: 1/03/2013REP-329 Response to submissions on CP 191 FOFA: Approval of codes of conduct for exemption from opt-in requirement
• Regulatory guide Updated: 13/12/2012RG-244 Giving information, general advice and scaled advice
• Report Updated: 13/12/2012REP-319 Response to submissions on CP 182 on the best interests duty and related obligations and CP 183 on scaled advice
• Regulatory guide Updated: 10/12/2012RG-079 Research report providers: Improving the quality of investment research
• Report Updated: 10/12/2012REP-318 Response to submissions on CP 171 Strengthening the regulation of research report providers
• Regulatory guide Updated: 15/11/2012RG-234 Advertising financial products and services (including credit): Good practice guidance
• Consultation Updated: 14/11/2012CP-194 Financial requirements for custodial or depository service providers
• Consultation Updated: 23/10/2012CP-191 Future of Financial Advice - Approval of codes of conduct for exemption from opt in requirement
• Report Updated: 19/10/2012REP-308 Response to submissions on CP 172 Review of EDR jurisdiction (debt recovery legal proceedings)
• Consultation Updated: 28/09/2012CP-189 Future of Financial Advice - Conflicted remuneration
• Regulatory guide Updated: 26/09/2012RG-146 Licensing: Training of financial product advisers
• Report Updated: 10/09/2012REP-298 Adequacy of risk management systems of responsible entities
• Consultation Updated: 17/08/2012CP-185 Litigation schemes and proof of debt schemes - Managing conflicts of interest
• Consultation Updated: 9/08/2012CP-182 Future of Financial Advice - Best interests duty and related obligations - Update to RG 175
• Consultation Updated: 9/08/2012CP-183 Giving information general advice and scaled advice
• Report Updated: 5/07/2012REP-291 Custodial and depository services in Australia
• Regulatory guide Updated: 29/06/2012RG-054 Principles for cross-border financial regulation
• Regulatory guide Updated: 18/06/2012RG-173 Disclosure for on-sale of securities and other financial products
• Regulatory guide Updated: 5/06/2012RG-237 Trustee companies: Transfer determinations by ASIC
• Report Updated: 9/05/2012REP-285 Response to submissions on CP 141 Mortgage schemes: Strengthening the disclosure benchmarks
• Report Updated: 28/03/2012REP-280 Response to submissions on CP 163 Unlisted property schemes: Update to RG 46
• Report Updated: 27/03/2012REP-279 Shadow shopping study of retirement advice
• Report Updated: 14/02/2012REP-278 Response to submissions on CP 167 Advertising financial products and advice services
• Report Updated: 8/02/2012REP-276 Modifying the naming provisions and advertising requirements
• Report Updated: 30/01/2012REP-273 Response to submissions on CP 133 Agribusiness schemes: Improving disclosure for retail investors
• Regulatory guide Updated: 24/01/2012RG-231 Infrastructure entities: Improving disclosure for retail investors
• Consultation Updated: 24/01/2012CP-173 Trustee companies - Transfer determinations bv ASIC
• Report Updated: 13/12/2011REP-268 Response to submissions on CP 160 Credit rating agencies - IOSCO Code Annual Compliance Report
• Report Updated: 9/12/2011REP-269 Response to submissions on CP 150 Disclosing financial information other than in accordance with accounting standards
• Consultation Updated: 2/12/2011CP-172 Review of EDR jurisdiction over complaints when members commence debt recovery legal proceedings
• Regulatory guide Updated: 30/11/2011RG-065 Section 1013DA disclosure guidelines
• Consultation Updated: 16/11/2011CP-171 Strengthening the regulation of research report providers including research houses
• Report Updated: 7/11/2011REP-259 Response to submissions on CP 140 Responsible entities: Financial requirements
• Consultation Updated: 4/11/2011CP-169 Term deposits that are only breakable on 31 days notice - Proposals for relief
• Regulatory guide Updated: 28/10/2011RG-168 Disclosure: Product Disclosure Statements (and other disclosure obligations)
• Report Updated: 28/10/2011REP-258 Response to submissions on CP 144 Giving a PDS in telephone sales of general insurance products
• Report Updated: 13/09/2011REP-251 Review of financial advice industry practice
• Consultation Updated: 30/08/2011CP-167 Advertising financial products and advice services - Good practice guidance
• Regulatory guide Updated: 12/08/2011RG-227 Over-the-counter contracts for difference: Improving disclosure for retail investors
• Report Updated: 10/08/2011REP-245 Review of general insurance claims handling and internal dispute resolution procedures
• Consultation Updated: 1/06/2011CP-160 Credit rating agencies - IOSCO Code Annual Compliance Report
• Consultation Updated: 20/05/2011CP-158 Redrafting the Electronic Funds Transfer Code of Conduct
• Report Updated: 19/05/2011REP-240 Compensation for retail investors: The social impact of monetary loss
• Regulatory guide Updated: 11/05/2011RG-076 Related party transactions
• Report Updated: 10/04/2011REP-236 Response to submissions on CP 138 Dispute resolution requirements and traditional services
• Consultation Updated: 6/04/2011CP-153 Licensing: Assessment and professional development framework for financial advisers
• Regulatory guide Updated: 1/04/2011RG-170 Prospective financial information
• Report Updated: 30/03/2011REP-234 Response to submissions on CP 143 Expert reports and independence of experts
• Consultation Updated: 7/03/2011CP-149 Application for an Australian market licence - Financial and Energy Exchange Limited
• Report Updated: 23/12/2010REP-224 Access to financial advice in Australia
• Regulatory guide Updated: 13/12/2010RG-221 Facilitating digital financial services disclosures
• Report Updated: 13/12/2010REP-223 Response to submissions on CP 121 Facilitating online financial services disclosures
• Report Updated: 1/12/2010REP-218 Electronic Funds Transfer Code of Conduct review: Feedback on CP 90 and final positions
• Consultation Updated: 17/11/2010CP-146 Over the counter contracts for difference - Improving disclosure for retail investors
• Regulatory guide Updated: 10/11/2010RG-219 Non-standard margin lending facilities: Disclosure to investors
• Consultation Updated: 28/10/2010CP-144 Giving a PDS in telephone sales of general insurance products
• Report Updated: 28/10/2010REP-214 Review of superannuation PDSs
• Consultation Updated: 23/09/2010CP-139 Compensation and insurance arrangements for trustee companies providing traditional services
• Consultation Updated: 17/09/2010CP-138 Dispute resolution requirements for trustee companies providing traditional services
• Report Updated: 22/07/2010REP-201 Review of disclosure for capital protected products and retail structured or derivative products
• Regulatory guide Updated: 15/07/2010RG-201 Unsolicited credit cards and debit cards
• Report Updated: 11/07/2010REP-205 Contracts for difference and retail investors
• Report Updated: 11/07/2010REP-202 Response to submissions on CP 114 Client money relating to dealing in OTC derivatives
• Regulatory guide Updated: 29/06/2010RG-195 Group purchasing bodies for insurance and risk products
• Report Updated: 7/05/2010REP-197 Response to submissions on CP 132 Trustee companies: Financial requirements and conduct obligations
• Report Updated: 7/05/2010REP-195 Response to submissions on CP 112 Dispute resolution requirements for credit and margin lending
• Regulatory guide Updated: 15/03/2010RG-125 Share and interest purchase plans
• Consultation Updated: 15/03/2010CP-132 Trustee companies: Financial requirements and conduct obligations
• Report Updated: 1/03/2010REP-185 Review of term deposits
• Consultation Updated: 21/12/2009CP-129 Non-standard margin lending facilities: Improving disclosure for retail clients
• Report Updated: 18/12/2009REP-182 Feedback from submissions to the Financial Ombudsman Service Limited's new Terms of Reference
• Report Updated: 2/12/2009REP-177 Response to submissions on CP 109 Margin lending: Financial requirements
• Report Updated: 2/12/2009REP-176 Response to submissions on CP 108 Margin lending: Training of financial advisers
• Consultation Updated: 13/10/2009CP-121 Facilitating online financial services disclosures
• Consultation Updated: 10/09/2009CP-117 Consent to quote credit ratings in disclosure documents and PDSs
• Consultation Updated: 7/09/2009CP-116 Exempt professional financial markets
• Consultation Updated: 2/09/2009CP-115 Responsible lending
• Consultation Updated: 7/08/2009CP-114 Client money relating to dealing in OTC derivatives
• Consultation Updated: 13/07/2009CP-108 Margin lending: Training of financial advisers
• Consultation Updated: 13/07/2009CP-109 Margin lending: Financial requirements
• Report Updated: 18/06/2009REP-160 Response to submissions on CP 105 Facilitating equity capital raising
• Report Updated: 18/05/2009REP-156 Report on submissions to CP 102 Dispute resolution
• Consultation Updated: 2/03/2009CP-104 Internet discussion sites
• Report Updated: 13/11/2008REP-143 Review of credit rating agencies and research houses
• Regulatory guide Updated: 4/11/2008RG-197 Warrants: Out-of-use notices
• Report Updated: 31/10/2008REP-142 Overview of decisions on relief applications: April to July 2008
• Consultation Updated: 3/10/2008CP-090 Review of the Electronic Funds Transfer Code of Conduct 2007/08: ASIC proposals
• Report Updated: 30/09/2008REP-140 Report on submissions for CP 80 Group insurance arrangements
• Consultation Updated: 8/09/2008CP-102 Dispute resolution: Review of RG 139 and RG 165
• Report Updated: 2/09/2008REP-139 Report on submissions for CP 100 Unlisted property schemes: Improving disclosure for retail investors
• Regulatory guide Updated: 8/08/2008RG-192 Licensing: Wholesale equity schemes
• Consultation Updated: 8/07/2008CP-100 Unlisted property schemes: Improving disclosure for retail investors
• Regulatory guide Updated: 19/06/2008RG-182 Dollar disclosure
• Consultation Updated: 2/04/2008CP-093 Facilitating online financial services disclosures
• Report Updated: 26/03/2008REP-123 A report on costs of financial services
• Report Updated: 27/11/2007REP-112 Report on submissions to CP 87 Compensation and insurance arrangements for AFS licensees
• Report Updated: 22/11/2007REP-110 Report on submissions for CP 88 Reviewing and updating RG 146 Training of financial product advisers
• Consultation Updated: 4/10/2007CP-092 Streamlining breach reporting
• Consultation Updated: 28/09/2007CP-091 Non-traditional rights issues
• Consultation Updated: 31/07/2007CP-088 Reviewing and updating RG 146: Training of financial product advisers
• Consultation Updated: 23/07/2007CP-087 Compensation and insurance arrangements for AFS licensees
• Report Updated: 23/07/2007REP-107 Compensation arrangements for financial services licensees: Research into the professional indemnity insurance market
• Consultation Updated: 3/07/2007CP-084 Managed investment schemes: Withdrawal rights and scheme liquidity
• Regulatory guide Updated: 26/06/2007RG-086 Tracing beneficial ownership
• Consultation Updated: 20/06/2007CP-083 Review of ASIC policy on investor directed portfolio services
• Consultation Updated: 30/05/2007CP-082 Wholesale equity venture capital schemes: Trustee licensing
• Consultation Updated: 7/05/2007CP-080 Group insurance arrangements
• Consultation Updated: 7/05/2007CP-081 Management rights schemes
• Consultation Updated: 12/01/2007CP-078 Reviewing the EFT Code
• Consultation Updated: 19/12/2006CP-077 On market buy-backs by ASX-listed schemes
• Consultation Updated: 23/11/2006CP-075 Updating Policy Statement 164: Organisational competence
• Consultation Updated: 23/11/2006CP-076 Updating Policy Statement 164: Meeting the general obligations
• Consultation Updated: 25/05/2006CP-074 Review of Policy Statement 160: Time-sharing schemes
• Consultation Updated: 19/04/2006CP-073 Managing conflicts of interest in the financial services industry
• Report Updated: 1/12/2005REP-063 Compliance with the EFT Code of Conduct: April 2003 to March 2004
• Regulatory guide Updated: 15/11/2005RG-185 Non-cash payment facilities
• Report Updated: 7/09/2005REP-053 Good transaction fee disclosure
• Consultation Updated: 31/08/2005CP-071 Repetition of the general advice warning
• Consultation Updated: 23/08/2005CP-070 Online calculators
• Consultation Updated: 4/08/2005CP-068 Authorisation of general insurance arrangers
• Consultation Updated: 29/07/2005CP-069 Disclosing pro forma financial information
• Report Updated: 30/06/2005REP-042 Insurance broker remuneration arrangements
• Consultation Updated: 9/06/2005CP-064 Approving a purpose for accessing the register of members of a mutual entity
• Consultation Updated: 9/06/2005CP-065 Licensing: Credit rating agencies
• Consultation Updated: 27/01/2005CP-060 Disclosure documents and PDS: Consent to quote [PN 55]
• Consultation Updated: 23/12/2004CP-058 Unit pricing: Guide to good practice
• Consultation Updated: 22/12/2004CP-059 Non-cash payment facilities
• Consultation Updated: 1/10/2004CP-054 Proposed relief for constitutions of registered managed investment schemes
• Report Updated: 6/09/2004REP-037 ASIC verification visit program: Key findings
• Regulatory guide Updated: 30/08/2004RG-181 Licensing: Managing conflicts of interest
• Consultation Updated: 17/08/2004CP-053 Licensing: Securitisation
• Consultation Updated: 10/08/2004CP-052 Dollar disclosure
• Report Updated: 16/06/2004REP-023 A model for fee disclosure in product disclosure statements for investment products
• Report Updated: 10/06/2004REP-030 Disclosure of soft dollar benefits
• Report Updated: 7/04/2004REP-029 Preferential remuneration project
• Report Updated: 1/12/2003REP-027 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct: April 2002 to March 2003
• Consultation Updated: 29/10/2003CP-046 Licensing: Managing conflicts of interest
• Consultation Updated: 3/09/2003CP-042 Draft section 1013DA guidelines: Disclosure about labour standards and environmental, social and ethical considerations in product disclosure statements
• Report Updated: 1/06/2003REP-022 A review of the research on the past performance of managed funds
• Report Updated: 22/05/2003REP-021 Report on the review of 2001 and 2002 annual financial reports of South Australian securities dealers
• Consultation Updated: 16/04/2003CP-044 Managed discretionary account services
• Report Updated: 1/03/2003REP-020 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct: April 2001 to March 2002
• Report Updated: 11/02/2003REP-018 Survey on the quality of financial planning advice
• Report Updated: 7/02/2003REP-017 Compliance with advice and disclosure obligations: Report on primary production schemes
• Consultation Updated: 19/12/2002CP-040 Licensing: Discretionary powers (foreign financial services providers)
• Consultation Updated: 19/12/2002CP-041 Socially responsible investing disclosure
• Consultation Updated: 12/12/2002CP-039 Licensing: Financial product advisers (conduct and disclosure)
• Consultation Updated: 21/11/2002CP-037 Foreign collective investment schemes
• Consultation Updated: 21/11/2002CP-038 Australian market licences: Overseas operators
• Report Updated: 25/09/2002REP-016 Disclosure of fees and charges in managed investments review of current Australian requirements and options for reform
• Report Updated: 1/06/2002REP-013 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct: April 2000 to March 2001
• Regulatory guide Updated: 1/03/2002RG-008 Administrative hearings: Principles and conduct
• Report Updated: 1/03/2002REP-011 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct: April 1999 to March 2000
• Consultation Updated: 2/11/2001CP-029 Australian market licences: Australian operators
• Consultation Updated: 25/10/2001CP-026 Licensing and disclosure: Making the transition to the FSR regime
• Consultation Updated: 21/09/2001CP-025 Licensing: Financial requirements
• Consultation Updated: 6/06/2001CP-021 Approval of codes
• Consultation Updated: 6/06/2001CP-022 Licensing: Discretionary powers
• Consultation Updated: 6/06/2001CP-023 Licensing: External and internal dispute resolution procedures
• Consultation Updated: 6/06/2001CP-024 Licensing: Principals and representatives
• Consultation Updated: 31/05/2001CP-020 Account aggregation in the financial services sector
• Consultation Updated: 26/04/2001CP-015 Disclosure: Discretionary powers and transition
• Consultation Updated: 26/04/2001CP-016 Disclosure: Product disclosure statements and other disclosure obligations
• Consultation Updated: 26/04/2001CP-017 Licensing: Adapting IPS 146 to the Financial Service Reform regime
• Consultation Updated: 26/04/2001CP-018 Licensing: Organisational capacities
• Consultation Updated: 26/04/2001CP-019 Licensing: The scope of the licensing regime (Financial product advice and dealing)
• Consultation Updated: 4/04/2001CP-014 Draft guide to good transaction fee disclosure for banks building societies and credit unions
• Report Updated: 1/02/2001REP-010 Final report of the national life insurance disability campaign
• Report Updated: 1/02/2001REP-009 Online trading survey report
• Consultation Updated: 5/10/2000CP-012 Electronic applications for life insurance and superannuation products
• Report Updated: 15/08/2000REP-008 PJC Inquiry into fees on electronic and telephone banking
• Consultation Updated: 3/07/2000CP-009 Educating financial services consumers
• Consultation Updated: 20/06/2000CP-008 Guidelines for internet discussion sites
• Consultation Updated: 19/06/2000CP-010 Mutuality
• Report Updated: 1/06/2000REP-006 Technical paper on financial advising activities of real estate agents
• Report Updated: 1/02/2000REP-005 Review of financial advising activities of real estate agents: Interim report
• Report Updated: 1/01/2000REP-004 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct: April 1998 to March 1999
• Consultation Updated: 1/12/1999CP-007 Multimedia prospectuses and other offer documents
• Report Updated: 1/07/1999REP-003 Stocktake of consumer education in financial services
• Consultation Updated: 2/06/1999CP-003 Managed investments: Change of responsible entity (effect on contracts)
• Consultation Updated: 2/06/1999CP-004 Managed investments: Protection of underlying land in primary production managed investment schemes
• Consultation Updated: 27/05/1999CP-002 Non-discretionary portfolio services
• Consultation Updated: 19/10/1998CP-001 Indirect self acquisition by investment funds
• Regulatory guide Updated: 16/10/1995RG-077 Property trusts and property syndicates (withdrawn)
• InstrumentRegistered: 10/11/1015ASIC Corporations (Division 3 Securities and Division 4 Financial Products) Instrument 2015/1030