Find a regulatory document

1692 results found
CP-276 - CONSULTATION PAPER
CP 276 Registered liquidators: Registration, disciplinary actions and insurance requirements

Released 19 January 2017. Comments close 9 February 2017. This consultation paper seeks feedback from registered liquidators, professional advisers, ...

REP-276 - REPORT
REP 276 Modifying the naming provisions and advertising requirements

Released 8 February 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 151 Debt ...

INFO-276 - INFORMATION SHEET
FAQs: Registration for relevant providers

This is Information Sheet 276 (INFO 276). It is for Australian financial services (AFS) licensees and relevant providers. From 16 February 2024, all ...

RG-275 - REGULATORY GUIDE
RG 275 The deferred sales model for add-on insurance

Issued 28 July 2021 This guide is for issuers and distributors of add-on insurance. It provides guidance on the requirements that apply to providers ...

CP-275 - CONSULTATION PAPER
CP 275 Repealing ASIC class order on FSG exemption for market-making services on a licensed market: [CO 03/578]

Released 5 December 2016. Comments close 31 January 2017. This consultation paper sets out ASIC’s proposal to repeal a class order that we consider ...

REP-275 - REPORT
REP 275 Response to submissions on CP 137 and CP 162 Indirect self acquisition by investment funds

Released 16 February 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 137 Indirect ...

INFO-275 - INFORMATION SHEET
Infringement notices: Your rights

This is Information Sheet 275 (INFO 275). It explains your options if you receive an infringement notice. On this page: Why we issue infringement ...

RG-274 - REGULATORY GUIDE
RG 274 Product design and distribution obligations

Issued 11 December 2020 This guide is for issuers and distributors of financial products that must comply with the design and distribution ...

CP-274 - CONSULTATION PAPER
CP 274 Remaking ASIC class orders on application form requirements

Released 25 November 2016. Comments close 2 January 2017. This consultation paper sets out ASIC’s proposals to remake our class orders on the ...

REP-274 - REPORT
REP 274 Overview of decisions on relief applications: June to September 2011

Released 31 January 2012. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

Last updated: 20/10/2014 12:00