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1574 results found
REP-716 - REPORT
REP 716 Cyber resilience of firms in Australia’s financial markets: 2020–21

Released 6 December 2021. This report provides an update to Report 651 Cyber resilience of firms in Australia’s financial markets: 2018–19 (REP 651). ...

REP-715 - REPORT
REP 715 PricewaterhouseCoopers Australia: Audit inspection report—1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out our findings from reviewing audit files at PricewaterhouseCoopers Australia for the period 1 July ...

REP-714 - REPORT
REP 714 KPMG Australia: Audit inspection report—1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out our findings from reviewing audit files at KPMG Australia for the period 1 July 2020 to 30 June 2021 ...

REP-713 - REPORT
REP 713 Grant Thornton Australia Limited: Audit inspection report—1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out our findings from reviewing audit files at Grant Thornton Australia for the period 1 July 2020 to 30 ...

REP-712 - REPORT
REP 712 Ernst & Young Australia: Audit inspection report—1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out our findings from reviewing audit files at Ernst & Young Australia for the period 1 July 2020 to ...

REP-711 - REPORT
REP 711 Deloitte Touche Tohmatsu Australia: Audit inspection report—1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out our findings from reviewing audit files at Deloitte Touche Tohmatsu Australia for the period 1 July ...

REP-710 - REPORT
REP 710 BDO firms in Australia: Audit inspection report—1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out our findings from reviewing audit files at BDO firms in Australia for the period 1 July 2020 to 30 ...

REP-709 - REPORT
REP 709 Audit inspection report: 1 July 2020 to 30 June 2021

Released 30 November 2021. This report sets out findings from our review of audit files for the period 1 July 2020 to 30 June 2021. The report also ...

REP-708 - REPORT
REP 708 ASIC’s expectations for industry in responding to a market outage

Released 24 November 2021. This report outlines the findings from our review of the market outage and other operational incidents that affected the ...

REP-707 - REPORT
REP 707 Response to submissions on CP 335 Consumer remediation: Update to RG 256

Released 17 November 2021. This report highlights the key issues that arose out of the submissions received on Consultation Paper 335 Consumer ...

REP-706 - REPORT
REP 706 Response to submissions on CP 319 and [CO 11/272] Securities lending by agents and substantial holding disclosure

Released 11 November 2021. This report highlights the key issues that arose out of the submissions received on Consultation Paper 319 Securities ...

REP-705 - REPORT
REP 705 Response to submissions on CP 343 Crypto-assets as underlying assets for ETPs and other investment products

Released 29 October 2021. This report highlights the key issues that arose out of the submissions received on Consultation Paper 343 Crypto-assets as ...

REP-704 - REPORT
REP 704 ASIC quarterly update: July to September 2021

Released 27 October 2021 This report provides an update on ASIC’s work undertaken between 1 July and 30 September 2021. Read the report (PDF 734 KB)

REP-703 - REPORT
REP 703 Response to submissions on CP 337 Externally administered companies: Extending financial reporting and AGM relief

Released 6 October 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 337 Externally ...

REP-702 - REPORT
REP 702 Competition in funds management

Released 24 September 2021 This report presents findings from independent research by Deloitte Access Economics, which examined competition between ...

REP-701 - REPORT
REP 701 Response to submissions on CP 346 The hawking prohibition: Update to RG 38

Released 23 September 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 346 The hawking ...

REP-700 - REPORT
REP 700 Licensing and professional registration activities: 2021 update

Released 15 September 2021 This report is for AFS licensees, Australian credit licensees, lawyers, application service providers and professionals ...

REP-699 - REPORT
REP 699 ASIC enforcement update January to June 2021

Released 9 September 2021 This report provides an update on our enforcement action between 1 January and 30 June 2021. During this period, we ...

REP-698 - REPORT
REP 698 Response to submissions on CP 340 Breach reporting and related obligations

Released 7 September 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 340 Breach reporting ...

REP-697 - REPORT
REP 697 ASIC quarterly update April to June 2021

Released 4 August 2021 This report provides an update on ASIC’s work undertaken between 1 April and 30 June 2021. Read the report (PDF 4MB)

REP-696 - REPORT
REP 696 TPD insurance: Progress made but gaps remain

Released 2 August 2021 This report provides an update on ASIC’s work on total and permanent disability (TPD) insurance. It focuses on how insurers in ...

REP-695 - REPORT
REP 695 Response to submissions on CP 339 on the deferred sales model for add-on insurance

Released 28 July 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 339 Implementing the ...

REP-694 - REPORT
REP 694 Response to submissions on CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing

Released 20 July 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 333 Implementing the ...

REP-693 - REPORT
REP 693 Response to submissions on ASIC’s internal dispute resolution data consultations

Released 19 July 2021 This report highlights the key issues that arose out of the submissions received on two rounds of consultation on establishing ...

REP-692 - REPORT
REP 692 Response to submissions on CP 302 Proposed changes to ASIC’s capital requirements for market participants

Released 16 June 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 302 Proposed changes to ...

REP-691 - REPORT
REP 691 Regulator Performance Framework: ASIC self-assessment 2019–20

Released 26 May 2021 The Regulator Performance Framework (Framework) provides a set of six common key performance indicators (KPIs) for Australian ...

REP-689 - REPORT
REP 689 Response to submissions on CP 336 Financial requirements: Treatment of lease assets

Released 29 April 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 336 Financial ...

REP-688 - REPORT
REP 688 ASIC enforcement update July to December 2020

Released 16 April 2021 This report provides an update on ASIC’s enforcement work undertaken between 1 July and 31 December 2020, a period in which we ...

REP-687 - REPORT
REP 687 Response to submissions on CP 329 on advice fee consents and independence disclosure

Released 25 March 2021 This report highlights the key issues that arose out of the submissions received on Consultation Paper 329 Implementing the ...

REP-686 - REPORT
REP 686 Competition in funds management

Released March 2021 ASIC is reviewing competition in the Australian investment management sector to identify where competition is effective, where it ...

REP-685 - REPORT
REP 685 ASIC’s regtech initiatives 2019–20

Released 20 January 2021 This report is for representatives, service providers, and professionals across the regulatory technology (regtech) and ...

REP-684 - REPORT
REP 684 PricewaterhouseCoopers: Audit inspection report—1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out our findings from reviewing audit files at PricewaterhouseCoopers Australia from 1 July 2019 to 30 ...

REP-683 - REPORT
REP 683 KPMG Australia: Audit inspection report—1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out our findings from reviewing audit files at KPMG Australia from 1 July 2019 to 30 June 2020, and ...

REP-682 - REPORT
REP 682 Grant Thornton Audit Pty Ltd: Audit inspection report—1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out our findings from reviewing audit files at Grant Thornton Audit Pty Ltd from 1 July 2019 to 30 June ...

REP-681 - REPORT
REP 681 Ernst & Young Australia: Audit inspection report—1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out our findings from reviewing audit files at Ernst & Young Australia from 1 July 2019 to 30 June ...

REP-680 - REPORT
REP 680 Deloitte Touche Tohmatsu Australia: Audit inspection report—1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out our findings from reviewing audit files at Deloitte Touche Tohmatsu Australia from 1 July 2019 to 30 ...

REP-679 - REPORT
REP 679 BDO firms in Australia: Audit inspection report—1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out our findings from reviewing audit files at BDO firms in Australia from 1 July 2019 to 30 June 2020, ...

REP-678 - REPORT
REP 678 Audit quality measures, indicators and other information 2019–20

Released 22 December 2020 This report provides a broad group of audit quality measures, indicators and other information to supplement our audit ...

REP-677 - REPORT
REP 677 Audit inspection report: 1 July 2019 to 30 June 2020

Released 22 December 2020 This report sets out findings from our review of audit files for the period 1 July 2019 to 30 June 2020, and ...

REP-676 - REPORT
REP 676 Review of school banking programs

Released 15 December 2020 This report summarises the findings from ASIC’s review of school banking programs in Australian primary schools. Read the ...

REP-675 - REPORT
REP 675 Default insurance in superannuation: Member value for money

Released 14 December 2020 This report shares insights from ASIC’s work on metrics for measuring the value for money that members receive from ...

REP-674 - REPORT
REP 674 Response to submissions on CP 325 Product design and distribution obligations

Released 11 December 2020 This report highlights the key issues that arose out of the submissions received on Consultation Paper 325 Product design ...

REP-673 - REPORT
REP 673 Consumer engagement in insurance in super

Released 20 November 2020 The report prepared by Susan Bell Research presents findings from research exploring the experiences of superannuation ...

REP-672 - REPORT
REP 672 Buy now pay later: An industry update

Released 16 November 2020 In November 2018, ASIC released Report 600 Review of buy now pay later arrangements. Following on from REP 600, this ...

REP-671 - REPORT
REP 671 Licensing and professional registration activities: 2020 update

Released 11 November 2020 This report is for AFS licensees, Australian credit licensees, lawyers, application service providers and professionals ...

REP-670 - REPORT
REP 670 Response to submissions on CP 326 Chapter 6 relief for share transfers using s444GA of the Corporations Act

Released 24 September 2020  This report highlights the key issues that arose out of the submissions received on Consultation Paper 326 Response to ...

REP-669 - REPORT
REP 669 Response to submissions on CP 312 Stub equity in control transactions

Released 24 September 2020 This report highlights the key issues that arose out of the submissions received on Consultation Paper 312 Stub equity in ...

REP-668 - REPORT
REP 668 Allocations in debt capital market transactions

Released 22 September 2020 This report summarises the findings of our thematic surveillance of debt capital raising practices and selected ...

REP-667 - REPORT
REP 667 Response to submissions on CP 328 Initial public offers: Relief for voluntary escrow arrangements and pre-prospectus communications

Released 27 August 2020 This report highlights the key issues that arose out of the submissions received on Consultation Paper 328 Initial public ...

REP-666 - REPORT
REP 666 ASIC enforcement update January to June 2020

Released 22 September 2020 This Update reports on our enforcement progress in the period from January to June 2020 – a period in which the world ...

REP-665 - REPORT
REP 665 Response to submissions on CP 311 Internal dispute resolution: Update to RG 165

Released 30 July 2020 This report highlights the key issues that arose out of the submissions received on Consultation Paper 311 Internal dispute ...

REP-664 - REPORT
REP 664 Overview of decisions on relief applications (October 2019 to March 2020)

Released 23 June 2020 This report is for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-663 - REPORT
REP 663 Regulator Performance Framework: ASIC self-assessment 2018-19

Released 19 June 2020 The Regulator Performance Framework (Framework) provides a set of six common key performance indicators (KPIs) for Australian ...

REP-662 - REPORT
REP 662 Response to submissions on CP 327 on mortgage brokers and the best interests duty

Released 24 June 2020 This report highlights the key issues that arose out of the submissions received on Consultation Paper 327 Implementing the ...

REP-661 - REPORT
REP 661 Response to submissions on CP 313 Product intervention power

This report highlights the key issues that arose out of the submissions received on Consultation Paper 313 Product intervention power (CP 313) and ...

REP-660 - REPORT
REP 660 ASIC enforcement update July to December 2019

This report is ASIC’s overview of enforcement outcomes, priorities and cases during the period 1 July to 31 December 2019. Download the report ...

REP-659 - REPORT
REP 659 ASIC regulation of corporate finance: July to December 2019

Released 20 April 2020 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-658 - REPORT
REP 658 ASIC regulation of registered liquidators: July 2018 to June 2019

Published 14 April 2020 This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

REP-657 - REPORT
REP 657 Survey of crowd-sourced funding intermediaries: 2018–19

Released 9 April 2020 This report outlines findings from ASIC’s second crowd-sourced funding (CSF) industry survey and tracks the growth and ...

REP-656 - REPORT
REP 656 Response to submissions on CP 301 and CP 315 on foreign financial services providers

Released 10 March 2020 This report highlights the key issues that arose out of the submissions received on Consultation Paper 301 Foreign financial ...

REP-655 - REPORT
REP 655 Review of member communications: Protecting Your Superannuation Package (PYSP) reform

Released 12 February 2020 REP 655 details our review of trustee communications to superannuation fund members in relation to the Treasury Laws ...

REP-654 - REPORT
REP 654 Overview of decisions on relief applications (April 2019 to September 2019)

Released 3 February 2020 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-653 - REPORT
REP 653 ASIC's regtech initiatives 2018–19

Released 20 December 2019 This report summarises ASIC’s regtech initiatives and events conducted during FY2018–19. Download the report (PDF 532KB)

REP-652 - REPORT
REP 652 Wholesale FX practices in Australia

Released 18 December 2019 This report summarises our work in wholesale foreign exchange (FX) markets during 2018 and 2019. It highlights our ...

REP-651 - REPORT
REP 651 Cyber resilience of firms in Australia’s financial markets: 2018–19

Released 18 December 2019 This report provides an update to Report 555 Cyber resilience of firms in Australia’s financial markets. It identifies key ...

REP-650 - REPORT
REP 650 Overview of licensing and professional registration applications: July 2018 to June 2019

Released 16 December 2019 This report is for AFS licensees, Australian credit licensees, lawyers, application service providers and professionals ...

REP-649 - REPORT
REP 649 Audit quality measures, indicators and other information: 2018–19

Released 12 December 2019 This report provides a broad group of audit quality measures, indicators and other information to supplement our audit ...

REP-648 - REPORT
REP 648 Audit inspection report for 2018–19

Released 12 December 2019 This report summarises ASIC’s findings and observations from proactive reviews of audit files in the 12 months to 30 June ...

REP-647 - REPORT
REP 647 Independent expert summary report - NULIS Nominees (Australia) Limited

Released 16 December 2019 This summary report was prepared by KPMG as the independent expert engaged by on NULIS Nominees (Australia) Limited under ...

REP-646 - REPORT
REP 646 Insurance in superannuation 2019–20: Industry implementation of the Voluntary Code of Practice

Released 13 December 2019 This report provides background to our work in insurance in superannuation. It also examines industry progress on the ...

REP-645 - REPORT
REP 645 Insolvency statistics: External administrators’ reports (July 2018 to June 2019)

Released 18 December 2019 This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total ...

REP-644 - REPORT
REP 644 Assessment of ASX’s arrangements for exchange traded AQUA products

Released 11 December 2019 This report presents the findings of our assessment of ASX Limited (ASX)’s compliance with its Australian market licence ...

REP-643 - REPORT
REP 643 Response to submissions on CP 309 Update to RG 209: Credit licensing: Responsible lending conduct

Released 9 December 2019 This report highlights the key issues that arose out of the submissions received on Consultation Paper 309 Update to RG ...

REP-642 - REPORT
REP 642 Timeshare: Consumers’ experiences

Released 6 December 2019 This report is for consumers and the timeshare industry (including operators, promoters and financial advisers). It ...

REP-641 - REPORT
REP 641 An inside look at mining and exploration initial public offers

Released 5 December 2019 This report sets out the findings from our review of the initial public offer process for mining and exploration entities ...

REP-640 - REPORT
REP 640 Response to submissions on CP 317 Unsolicited telephone sales of direct life insurance and consumer credit insurance

Released 4 December 2019 This report highlights the key issues that arose out of the submissions received on Consultation Paper 317 Unsolicited ...

REP-639 - REPORT
REP 639 Financial advice by superannuation funds

Released 3 December 2019 ASIC has undertaken a project to examine: the ways in which superannuation funds provide financial advice to members ...

REP-638 - REPORT
REP 638 Consumer testing of the fees and costs tools for superannuation and managed investment schemes

Released 29 November 2019 This report was commissioned by ASIC and produced by Susan Bell Research. It sets out the results of consumer testing ...

REP-637 - REPORT
REP 637 Response to submissions on CP 308 Review of Regulatory Guide 97

Released 29 November 2019 This report highlights the key issues that arose out of the submissions received on Consultation Paper 308 Review of RG 97 ...

REP-636 - REPORT
REP 636 Compliance with the fee disclosure statement and renewal notice obligations

Released 28 November 2019 This report summarises ASIC’s review of compliance with the fee disclosure statement and renewal notice obligations by a ...

REP-635 - REPORT
REP 635 Response to submissions on CP 321 Whistleblower policies

Released 13 November 2019 This report highlights the key feedback from the submissions received on Consultation Paper 321 Whistleblower policies (CP ...

REP-634 - REPORT
REP 634 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 23 October 2019. This report outlines the findings of our assessment of the markets operated by Bloomberg Tradebook Australia Pty Ltd ...

REP-633 - REPORT
REP 633 Holes in the safety net: a review of TPD insurance claims

Released 17 October 2019 This report summarises the findings and recommendations from ASIC’s thematic review of total and permanent disability (TPD) ...

REP-632 - REPORT
REP 632 Disclosure: Why it shouldn’t be the default

Released 14 October 2019 Financial services disclosure has traditionally been assumed to inform us (as consumers), help us make ‘good’ financial ...

REP-631 - REPORT
Corporate Governance Taskforce

Good corporate governance in the financial services sector is essential for a fair, strong, and efficient financial system for all Australians. In ...

REP-630 - REPORT
REP 630 ASIC regulation of corporate finance: January to June 2019

Released 23 September 2019 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-629 - REPORT
REP 629 Response to submissions on CP 304 Remaking ASIC class order on share and interest purchase plans: [CO 09/425]

Released 30 August 2019 This report highlights the key issues that arose out of the submissions received on Consultation Paper 304 Remaking ASIC ...

REP-628 - REPORT
REP 628 Looking for a mortgage: Consumer experiences and expectations in getting a home loan

Released 29 August 2019 This report is for lenders, mortgage brokers, consumer advocates, industry associations and other participants. It sets out ...

REP-627 - REPORT
REP 627 Financial advice: What consumers really think

Released 26 August 2019 This report summarises the results of some preliminary research we commissioned into what consumers think about financial ...

REP-626 - REPORT
REP 626 Consumer harm from OTC binary options and CFDs

Released 22 August 2019 This report provides a snapshot of the market for over-the-counter (OTC) binary options and contracts for difference (CFDs), ...

REP-625 - REPORT
REP 625 ASIC enforcement update - January to June 2019

Released 18 August 2019 This report is ASIC’s overview of enforcement outcomes, priorities and cases during the period 1 January to 30 June 2019. ...

REP-624 - REPORT
REP 624 Response to submissions on CP 306 Markets Disciplinary Panel

Released 7 August 2019 This report highlights the key issues that arose out of the submissions received on Consultation Paper 306 Markets ...

REP-623 - REPORT
REP 623 Review of Australian equity market cleanliness: 1 November 2015 to 31 October 2018

Released 31 July 2019 This report sets out the findings of our review of Australian equity market cleanliness for the period 1 November 2015 to 31 ...

REP-622 - REPORT
REP 622 Consumer credit insurance: Poor value products and harmful sales practices

Released 11 July 2019 Consumer credit insurance (CCI) provides cover for consumers if they are unable to meet their minimum loan repayments due to ...

REP-621 - REPORT
REP 621 Roadblocks and roundabouts: A review of car insurance claim investigations

Released 4 July 2019 ASIC reviewed how general insurers investigate comprehensive car insurance claims where fraud is suspected. We found that ...

REP-620 - REPORT
REP 620 Overview of decisions on relief applications (October 2018 to March 2019)

Released 21 June 2019 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-619 - REPORT
REP 619 Market integrity report: July to December 2018

Released 31 May 2019 We are driving the integrity, confidence and innovation of Australian markets so firms can thrive and investors can ...

REP-618 - REPORT
REP 618 Regulator Performance Framework: ASIC self-assessment 2017–18

Released 16 April 2019 The Regulator Performance Framework (RPF) provides a set of six common key performance indicators for Australian Government ...

REP-617 - REPORT
REP 617 Survey of marketplace lending providers

Released 12 April 2019 This report provides an overview of marketplace lending platforms structured as managed investment schemes. It is based on ...

REP-616 - REPORT
REP 616 Survey of crowd-sourced funding intermediaries: 2017–18

Released 12 April 2019 This report is for existing and prospective crowd-sourced funding (CSF) intermediaries, existing and prospective eligible CSF ...

REP-615 - REPORT
REP 615 ASIC enforcement update July to December 2018

Released 9 April 2019 This update is ASIC’s biannual overview of enforcement outcomes, priorities and cases during the period 1 July 2018 to 31 ...

REP-614 - REPORT
REP 614 Financial advice: Mind the gap

Released 28 March 2019 This report summarises the key findings of research commissioned by ASIC into consumer awareness and understanding of ...

REP-613 - REPORT
REP 613 Compliance Report (Part 4) - Commonwealth Financial Planning Limited and Financial Wisdom Limited

Released 10 April 2019 This report is prepared by KordaMentha Forensic as the compliance expert engaged by ASIC under the additional licence ...

REP-612 - REPORT
REP 612 ASIC regulation of corporate finance: July to December 2018

Released 15 March 2019 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-611 - REPORT
REP 611 Overview of licensing and professional registration applications: July 2017 to June 2018

Released 28 February 2019 This report is for Australian financial services (AFS) licensees, Australian credit licensees (credit licensees), ...

REP-610 - REPORT
REP 610 ASIC regulation of registered liquidators: January 2017 to June 2018

Released 14 February 2019 This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and ...

REP-609 - REPORT
REP 609 Annual general meeting season 2018

Released 31 January 2019 This report provides an overview of the annual general meeting season in 2018 for S&P/ASX 200 listed entities. It sets ...

REP-608 - REPORT
REP 608 Response to submissions on CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders

Released 30 January 2019 This report highlights the key issues that arose out of the submissions received on Consultation Paper 299 Short selling: ...

REP-607 - REPORT
REP 607 Audit inspection program report for 2017–18

Released 24 January 2019 This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 30 ...

REP-606 - REPORT
REP 606 Allocations in equity raising transactions - summary version

Released 20 December 2018  This report highlights some of the key findings from our review of market practice for the allocation of securities in ...

REP-605 - REPORT
REP 605 Allocations in equity raising transactions

Released 20 December 2018 This report sets out the findings from our review of market practice for the allocation of securities in equity raising ...

REP-604 - REPORT
REP 604 Credit card lending in Australia—An update

Released 18 December 2018 This report contains an update on ASIC’s work on credit cards in 2018. It contains a point-in-time outline of commitments ...

REP-603 - REPORT
REP 603 The consumer journey through the Internal Dispute Resolution process of financial service providers

Released 10 December 2018 This report was commissioned by ASIC and produced by Nature. It presents the findings of the qualitative and quantitative ...

REP-602 - REPORT
REP 602 Overview of decisions on relief applications (April 2018 to September 2018)

Released 6 December 2018 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-601 - REPORT
REP 601 Market assessment report: Yieldbroker Pty Limited

Released 30 November 2018 This report outlines the findings of our assessment of the market operated by Yieldbroker Pty Limited (Yieldbroker). It ...

REP-600 - REPORT
REP 600 Review of buy now pay later arrangements

Released 28 November 2018 This report summarises the findings of ASIC's review of 'buy now pay later' arrangements. These arrangements allow ...

REP-599 - REPORT
REP 599 Market integrity report: January to June 2018

Released 19 November 2018 We are driving the integrity, confidence and innovation of Australian markets so firms can thrive and investors can ...

REP-598 - REPORT
REP 598 High-frequency trading in Australian equities and the Australian–US dollar cross rate (summary version)

Released 16 November 2018 This summary version of Report 597 highlights some of the key findings from our 2018 review of high-frequency trading in ...

REP-597 - REPORT
REP 597 High-frequency trading in Australian equities and the Australian–US dollar cross rate

Released 16 November 2018 This report presents findings from ASIC’s 2018 review of high-frequency trading. It analyses specific trading attributes ...

REP-596 - REPORT
REP 596 Insolvency statistics: External administrators’ reports (July 2017 to June 2018)

Released 14 November 2018 This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total ...

REP-595 - REPORT
REP 595 Response to submissions on CP 300 Approval and oversight of compliance schemes for financial advisers

Released 28 September 2018 This report highlights the key issues that arose out of the submissions received on Consultation Paper 300 Approval and ...

REP-594 - REPORT
REP 594 Review of selected financial services groups’ compliance with the breach reporting obligation

Released 25 September 2018 This report sets out the findings of our review of Australian financial services (AFS) licensees' compliance with their ...

REP-593 - REPORT
REP 593 Climate risk disclosure by Australia’s listed companies

Released 20 September 2018 This report contains our key observations and findings from a surveillance project examining climate risk disclosure by ...

REP-592 - REPORT
REP 592 Review of ASX Group’s technology governance and operational risk management standards

Released 12 September 2018 This report outlines the findings of a review of ASX Group’s technology governance and operational risk management ...

REP-591 - REPORT
REP 591 Insurance in superannuation

Released 7 September 2018 This report sets out the findings from recent ASIC work on issues relevant to the consumer experience of insurance ...

REP-590 - REPORT
REP 590 Response to submissions on CP 303 Credit cards: Responsible lending assessments

Released 5 September 2018 This report highlights the key issues that arose out of the submissions received on Consultation Paper 303 Credit cards: ...

REP-589 - REPORT
REP 589 ASIC regulation of corporate finance: January to June 2018

Released 31 August 2018  This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-588 - REPORT
REP 588 Consumers’ experiences with the sale of direct life insurance

Released 30 August 2018 This report was commissioned by ASIC and produced by Susan Bell Research. It sets out the results of research into ...

REP-587 - REPORT
REP 587 The sale of direct life insurance

Released 30 August 2018 This report summarises the findings and recommendations from ASIC's review of the sale of direct life insurance products in ...

REP-586 - REPORT
REP 586 Review of reverse mortgage lending in Australia

Released 28 August 2018 This report summarises the findings and recommendations from ASIC’s review of lending practices for reverse mortgages. ...

REP-585 - REPORT
REP 585 ASIC enforcement outcomes: January to June 2018

Released 9 August 2018 This report outlines the enforcement outcomes achieved by ASIC during the period from 1 January to 30 June 2018 (relevant ...

REP-584 - REPORT
REP 584 Improved protections for deposit accounts with third-party access

Released 9 August 2018 This report follows a review by ASIC of deposit accounts that can be operated by a third-party, usually a financial adviser, ...

REP-583 - REPORT
REP 583 Review of exchange traded products

Released 2 August 2018 This report is for issuers of exchange traded products (ETPs), market operators and persons facilitating ETP trading. It may ...

REP-582 - REPORT
REP 582 Response to submissions on CP 296 Funds management

Released 31 July 2018 This report highlights the key issues that arose out of the submissions received on Consultation Paper 296 Funds management ...

REP-581 - REPORT
REP 581 Review of ASIC Regulatory Guide 97: Disclosing fees and costs in PDSs and periodic statements

Released 24 July 2018 This report has been prepared by Darren McShane at the request of the ASIC following its announcement of an external expert ...

REP-580 - REPORT
REP 580 Credit card lending in Australia

Released 4 July 2018 This report discusses the findings from ASIC’s review of credit card lending in Australia between 2012 and 2017. In ...

REP-579 - REPORT
REP 579 Improving practices in the retail OTC derivatives sector

Released 28 June 2018 Recent ASIC activities have revealed practices in the retail over-the-counter (OTC) derivatives sector which fall short of our ...

REP-578 - REPORT
REP 578 ASIC review of proxy adviser engagement practices

Released 27 June 2018  The report provides an overview of ASIC's review of proxy adviser engagement practices and sets out some key observations and ...

REP-577 - REPORT
REP 577 Response to submissions on CP 298 Oversight of the Australian Financial Complaints Authority

Released 20 June 2018  This report highlights the key issues that arose out of the submissions received on Consultation Paper 298 Oversight of the ...

REP-576 - REPORT
REP 576 Member experiences with self-managed superannuation funds

Released 28 June 2018   This report gives a comprehensive overview of research commissioned by ASIC into the experiences Australians have when ...

REP-575 - REPORT
REP 575 SMSFs: Improving the quality of advice and member experiences

Released 28 June 2018  ASIC has undertaken a large research project to examine: member experiences in setting up and running a self-managed ...

REP-574 - REPORT
REP 574 Overview of decisions on relief applications (October 2017 to March 2018)

Released 15 June 2018 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-573 - REPORT
REP 573 Registered liquidators’ compliance with lodgement and publication requirements

Released 13 June 2018  ASIC has conducted a project to review how registered liquidators are complying with their obligations to: lodge certain ...

REP-572 - REPORT
REP 572 Response to submissions on CP 293 Revising the market licence regime: Domestic and overseas operators

Released 4 May 2018  This report highlights the key issues that arose out of the submissions received on Consultation Paper 293 Revising the market ...

REP-571 - REPORT
REP 571 ASIC and small business

Released 4 April 2018 Small businesses employ half of Australia's workforce and make up one-fifth of Australia’s gross domestic product. As ...

REP-570 - REPORT
REP 570 Indicative levies for ASIC industry funding: 2017–18

Released 28 March 2018 ASIC industry funding commenced on 1 July 2017. This report sets out the indicative levies for industry funding for the ...

REP-569 - REPORT
REP 569 Market integrity report: July to December 2017

Financial markets fund the economy and, in turn, economic growth. But they can’t do this without the trust and confidence of investors. ASIC focuses ...

REP-568 - REPORT
REP 568 ASIC enforcement outcomes: July to December 2017

Released 28 February 2018 This report outlines the enforcement outcomes achieved by ASIC during the period from 1 July to 31 December 2017 ...

REP-567 - REPORT
REP 567 ASIC regulation of corporate finance: July to December 2017

Released 26 February 2018 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-566 - REPORT
REP 566 Surveillance of credit rating agencies

Released 15 February 2018 This report presents the findings of our surveillance under s912E of the Corporations Act of six credit rating agencies in ...

REP-565 - REPORT
REP 565 Unfair contract terms and small business loans

Released 15 March 2018 This report details the changes made by the ‘big four’ banks to their small business loan contracts, in order to comply ...

REP-564 - REPORT
REP 564 Annual general meeting season 2017

Released 29 January 2018  This report provides an overview of the annual general meeting season in 2017 for S&P/ASX 200 listed entities. It sets ...

REP-563 - REPORT
REP 563 National Financial Literacy Strategy Annual Highlights Report 2016-17

Released 5 March 2018 This report is a collective account of activity by ASIC and a range of organisations delivering financial literacy and ...

REP-562 - REPORT
REP 562 Financial advice: Vertically integrated institutions and conflicts of interest

Released 24 January 2018 ASIC has conducted a project to examine how Australia’s largest banking and financial services institutions manage the ...

REP-561 - REPORT
REP 561 Regulator Performance Framework: ASIC self-assessment 2016–17

Released 29 January 2018 The Regulator Performance Framework (Framework) provides a set of six common key performance indicators (KPIs) for ...

REP-560 - REPORT
REP 560 Response to submissions on CP 290 Sell-side research

Released 21 December 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 290 Sell-side ...

REP-559 - REPORT
REP 559 Survey of marketplace lending providers: 2016–17

Released 14 December 2017 This report provides an overview of marketplace lending involving the provision of financial products or services, based ...

REP-558 - REPORT
REP 558 Insolvency statistics: External administrators’ reports (July 2016 to June 2017)

Released 12 December 2017 This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total lodgements ...

REP-557 - REPORT
REP 557 Response to submissions on CP 284 Example Statement of Advice for life insurance: Update to RG 90

Released 7 December 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 284 Example ...

REP-556 - REPORT
REP 556 Overview of decisions on relief applications (April to September 2017)

Released 6 December 2017 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-555 - REPORT
REP 555 Cyber resilience of firms in Australia’s financial markets

Released 30 November 2017 This report provides a snapshot of the cyber resilience of firms operating in Australia's financial markets. It identifies ...

REP-554 - REPORT
REP 554 Independent evaluation of ASIC’s MoneySmart Teaching Program

Released 4 December 2017 This report contains: ASIC’s response to the independent evaluation of ASIC’s MoneySmart Teaching Program; and EY ...

REP-553 - REPORT
REP 553 Overview of licensing and professional registration applications

Released 30 November 2017 This report outlines ASIC’s decisions on applications for the period from 1 July 2016 to 30 June 2017 (relevant period) ...

REP-552 - REPORT
REP 552 Response to submissions on CP 273 Repealing ASIC class orders on holding client assets

Released 20 November 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 273 Repealing ASIC ...

REP-551 - REPORT
REP 551 Response to submissions on CP 281 Financial Services Panel

Released 16 November 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 281 Financial ...

REP-550 - REPORT
REP 550 ASIC's work for older Australians

Released 9 November 2017 This report outlines what we see as the major issues for older Australians and how we are addressing them. Download the ...

REP-549 - REPORT
REP 549 Compliance Report (Part 3) - Commonwealth Financial Planning Limited and Financial Wisdom Limited

Released 23 January 2018 This report is prepared by KordaMentha Forensic as the compliance expert engaged by ASIC under the additional licence ...

REP-548 - REPORT
REP 548 Response to submissions on amendments to ASIC's Regulator Performance Framework evidence metrics

Released 20 October 2017 This report highlights the key issues that arose out of the submissions received on proposed minor changes to Regulator ...

REP-547 - REPORT
REP 547 Response to submissions on CP 277 Proposals to consolidate the ASIC market integrity rules

Released 17 November 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 277 Proposals to ...

REP-546 - REPORT
REP 546 Response to submissions on CP 291 Reporting rules: Derivative retail client money

Released 10 October 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 291 Reporting rules: ...

REP-545 - REPORT
REP 545 Response to submissions on CP 280 ASIC class order on wholesale equity schemes

Released 29 September 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 280 ASIC class ...

REP-544 - REPORT
REP 544 Response to submissions on CP 288 and CP 289 on crowd-sourced funding

Issued 21 September 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 288 Crowd-sourced ...

REP-543 - REPORT
REP 543 Response to feedback on REP 523 ASIC’s Innovation Hub and our approach to regulatory technology

Released 15 September 2017 This report highlights the feedback received on Report 523 ASIC’s Innovation Hub and our approach to regulatory ...

REP-542 - REPORT
REP 542 Market integrity report: January to June 2017

Financial markets fund the economy and, in turn, economic growth. But they can’t do this without the trust and confidence of investors. ASIC ...

REP-541 - REPORT
REP 541 Australian financial attitudes and behaviour tracker

Key findings from Wave 5: March 2017 Released 28 September 2017 The Australian Financial Attitudes and Behaviour Tracker provides a snapshot at ...

REP-540 - REPORT
REP 540 Investors in initial public offerings

Released 31 August 2017 This report contains our analysis of the findings from: our inquiries with institutional investors about their approach ...

REP-539 - REPORT
REP 539 ASIC regulation of corporate finance: January to June 2017

Released 28 August 2017 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-538 - REPORT
REP 538 Assessment of National Stock Exchange of Australia Limited’s listing standards

28 August 2017 This report presents the findings of our assessment of National Stock Exchange of Australia Limited’s listing standards under s794C ...

REP-537 - REPORT
REP 537 Building Seniors’ Financial Capability

Released 17 August 2017 ASIC's Building Seniors' Financial Capability report summarises the key findings from a number of research studies on ...

REP-536 - REPORT
REP 536 ASIC enforcement outcomes: January to June 2017

Released 22 August 2017 This report outlines the enforcement results achieved by ASIC during the period from 1 January to 30 June 2017 (relevant ...

REP-535 - REPORT
REP 535 ASIC cost recovery arrangements: 2017–18

Released 14 July 2017 This report updates industry on the changes to ASIC’s cost recovery arrangements since the Government released its proposals ...

REP-534 - REPORT
REP 534 Audit inspection program report for 2015-16

Released 29 June 2017. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 31 ...

REP-533 - REPORT
REP 533 Response to submissions on CP 265 Communicating audit findings to directors, audit committees or senior managers

Released 23 June 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 265 Communicating audit ...

REP-532 - REPORT
REP 532 ASIC regulation of registered liquidators: January to December 2016

Released 22 June 2017 This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

REP-531 - REPORT
REP 531 Review of compliance with asset holding requirements in funds management and custodial services

Released 22 June 2017 In 2016–17, ASIC reviewed a number of asset holders to assess compliance with Regulatory Guide 133 Managed investments and ...

REP-530 - REPORT
REP 530 Overview of decisions on relief applications (October 2016 to March 2017)

Released 20 June 2017 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-529 - REPORT
REP 529 Member experience of superannuation

Released 30 June 2017 This report is for superannuation industry participants, consumer and investor organisations, and superannuation members. It ...

REP-528 - REPORT
REP 528 Responsible entities’ compliance with obligations: Findings from 2016 proactive surveillance program

Released 13 June 2017 This report sets out the findings from the proactive risk-based surveillance program we carried out in 2016, which covered ...

REP-527 - REPORT
REP 527 Response to submissions on CP 245 Retail life insurance advice reforms

Released 5 June 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 245 Retail life ...

REP-526 - REPORT
REP 526 Survey of marketplace lending providers

Released 1 June 2017 This report provides an overview of the marketplace lending industry, based on the findings from ASIC’s survey of a limited ...

REP-525 - REPORT
REP 525 Promoting better behaviour: Spot FX

Released 26 May 2017 This report highlights a number of behavioural drivers of conduct that we observed during our investigation into the wholesale ...

REP-524 - REPORT
REP 524 Market integrity report: July to December 2016

Financial markets fund the economy and, in turn, economic growth. But they can't do this without the trust and confidence of investors. ASIC’s ...

REP-523 - REPORT
REP 523 ASIC’s Innovation Hub and our approach to regulatory technology

Released 26 May 2017 This report provides an update on the work of ASIC’s Innovation Hub and outlines our approach to financial technology, ...

REP-522 - REPORT
REP 522 Response to submissions on CP 272 Remaking ASIC class orders on time-sharing schemes

Released 12 April 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 272 Remaking ASIC ...

REP-521 - REPORT
REP 521 Further review of emerging market issuers

Released 6 April 2017 This report provides key observations on regulatory issues relating to entities listed on Australian markets with substantial ...

REP-520 - REPORT
REP 520 Response to submissions on CP 248 Remaking ASIC class orders on reporting by foreign entities

Released 4 April 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 248 Remaking ASIC class ...

REP-519 - REPORT
REP 519 Response to submissions on CP 268 Licensing relief for FFSPs with a limited connection to Australia

Released 29 March 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 268 Licensing relief ...

REP-518 - REPORT
REP 518 Assessment of Sydney Stock Exchange Limited’s listing standards

Released 30 March 2017 This report presents the findings of our assessment of Sydney Stock Exchange Limited’s listing standards under s794C of the ...

REP-517 - REPORT
REP 517 Response to submissions on CP 263 risk management systems of responsible entities: Further proposals

Released 27 March 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 263 Risk management ...

REP-516 - REPORT
REP 516 Review of mortgage broker remuneration

Release 16 March 2017 At the request of the Government, ASIC conducted a review of the mortgage broking market to determine the effect of current ...

REP-515 - REPORT
REP 515 Financial advice: Review of how large institutions oversee their advisers

Released 17 March 2017 In July 2015, ASIC commenced a project to review how effectively Australia’s largest banking and financial services ...

REP-514 - REPORT
REP 514 Response to submissions on CP 276 Registered liquidators: Registration, disciplinary actions and insurance requirements

Released 1 March 2017 This report highlights the key issues that arose out of the submissions received on Consultation Paper 276 Registered ...

REP-513 - REPORT
REP 513 ASIC enforcement outcomes: July to December 2016

Released 8 March 2017 This report outlines the enforcement results achieved by ASIC during the period from 1 July to 31 December 2016 (the relevant ...

REP-512 - REPORT
REP 512 ASIC regulation of corporate finance: July to December 2016

Released 24 February 2017 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-511 - REPORT
REP 511 Regulator Performance Framework: ASIC self-assessment 2015–16

Released 27 January 2017 The Regulator Performance Framework (Framework) provides a set of six common key performance indicators (KPIs) for ...

REP-510 - REPORT
REP 510 National Financial Literacy Strategy Annual Highlights Report 2015-16

Released 16 February 2017 This report is a collective account of activity by ASIC and a range of organisations delivering financial literacy ...

REP-509 - REPORT
REP 509 Review of the ASX equity market outage on 19 September 2016

Released 21 December 2016 This report outlines the findings of our review of the ASX outage that affected the operation of the Australian equity ...

REP-508 - REPORT
REP 508 Response to submissions on CP 260 Further measures to facilitate innovation in financial services

Released 15 December 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 260 Further ...

REP-507 - REPORT
REP 507 Insolvency statistics: External administrators’ reports (July 2015 to June 2016)

Released 14 December 2016 This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total ...

REP-506 - REPORT
REP 506 Overview of decisions on relief applications (April to September 2016)

Released 12 December 2016 This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

REP-505 - REPORT
REP 505 Response to submissions on CP 266 Remaking ASIC class orders on managed investment schemes: Not for money

Released 8 December 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 266 Remaking ASIC ...

REP-504 - REPORT
REP 504 Compliance report - Parts 1 and 2 -Commonwealth Financial Planning Limited and Financial Wisdom Limited

Released 5 December 2016 Report prepared by KordaMentha Forensic This report assesses the steps taken by Commonwealth Financial Planning Limited ...

REP-503 - REPORT
REP 503 Overview of licensing and professional registration applications: January to June 2016

Released 7 December 2016 This report outlines ASIC’s decisions on applications for the period from 1 January to 30 June 2016 (relevant period) for:  ...

REP-502 - REPORT
REP 502 Response to submissions on CP 257 Improving disclosure of historical financial information in prospectuses: Update to RG 228

Released 3 November 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 257 Improving ...

REP-501 - REPORT
REP 501 Market integrity report: January to August 2016

The market integrity report consists of a short video and this webpage. Watch the video Read the transcript of the video Read the media ...

REP-500 - REPORT
REP 500 Response to submissions on CP 247 Client review and remediation programs and update to record-keeping requirements

Released 27 October 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 247 Client review ...

REP-499 - REPORT
REP 499 Financial advice: Fees for no service

Released 27 October 2016 In 2015, ASIC commenced a project to review the extent of failure to deliver ongoing advice services to financial advice ...

REP-498 - REPORT
REP 498 Life insurance claims: An industry review

Released 12 October 2016 This report contains the findings of an industry-wide review of claims handling in the life insurance industry. The ...

REP-497 - REPORT
REP 497 Response to submissions on CP 267 Remaking ASIC class orders on audit and financial reporting

Released 30 September 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 267 Remaking ASIC ...

REP-496 - REPORT
REP 496 Response to submissions on CP 200 Managed discretionary accounts: Update to RG 179

Released 29 September 2016 This report highlights the key issues that arose out of submissions received on Consultation Paper 200 Managed ...

REP-495 - REPORT
REP 495 Response to submissions on CP 207 Charitable investment fundraisers

Released 28 September 2016 This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 207 ...

REP-494 - REPORT
REP 494 Marketing practices in initial public offerings of securities

Released 19 September 2016 This report outlines the key findings from reviews we conducted to examine how initial public offerings (IPOs) are ...

REP-493 - REPORT
REP 493 Review of interest-only home loans: Mortgage brokers’ inquiries into consumers’ requirements and objectives

Released 14 September 2016 This report follows on from Report 445 Review of interest-only home loans (REP 445), which highlighted the importance of ...

REP-492 - REPORT
REP 492 A market that is failing consumers: The sale of add-on insurance through car dealers

Released 12 September 2016 This report presents ASIC’s findings on the sale of add-on insurance through car dealers. Our findings are based on ...

REP-491 - REPORT
REP 491 Response to submissions on CP 242 Remaking ASIC class orders on horse racing syndicates and horse breeding schemes

Released 31 August 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 242 Remaking ASIC ...

REP-490 - REPORT
REP 490 Response to submissions on CP 254 Regulating digital financial product advice

Released 30 August 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 254 Regulating ...

REP-489 - REPORT
REP 489 ASIC regulation of corporate finance: January to June 2016

Released 26 August 2016 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-488 - REPORT
REP 488 Response to submissions on CP 240 Remaking ASIC class orders on rounding and other matters

Released 26 August 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 240 Remaking ASIC ...

REP-487 - REPORT
REP 487 Review of Australian equity market cleanliness

Released 9 August 2016 In this report we seek to measure Australian equity market cleanliness with a focus on possible insider trading and ...

REP-486 - REPORT
REP 486 Sell-side research and corporate advisory: Confidential information and conflicts

Released 9 August 2016 This report sets out key observations from our review of the way financial intermediaries handle material, non-public ...

REP-485 - REPORT
REP 485 ASIC enforcement outcomes: January to June 2016

Released 8 August 2016 This report outlines the enforcement results achieved by ASIC during the period from 1 January to 30 June 2016 (the relevant ...

REP-484 - REPORT
REP 484 Due diligence practices in initial public offerings

Released 14 July 2016 This report outlines the key findings from reviews we conducted to examine the due diligence practices of issuers of ...

REP-483 - REPORT
REP 483 Overview of decisions on relief applications (October 2015 to March 2016)

Released 23 June 2016 This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-482 - REPORT
REP 482 Compliance review of the retail OTC derivatives sector

Released 20 June 2016 This report presents the key findings of our compliance review of Australian financial services (AFS) licensees in the retail ...

REP-481 - REPORT
REP 481 Australian financial attitudes and behaviour tracker

Key findings from Wave 4: September 2015 – February 2016 Released 22 June 2016 The Australian Financial Attitudes and Behaviour Tracker provides a ...

REP-480 - REPORT
REP 480 Assessment of ASX Limited's listing standards for equities

Released 14 June 2016 This report presents the findings of our assessment of ASX Limited (ASX)’s listing standards. It also highlights a number of ...

REP-479 - REPORT
REP 479 ASIC regulation of registered liquidators: January to December 2015

Released 8 June 2016 This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

REP-478 - REPORT
REP 478 Overview of licensing and professional registration applications: July to December 2015

Released 31 May 2016 This report outlines ASIC’s decisions on applications for the period from 1 July to 31 December 2015 (relevant period) for:   ...

REP-477 - REPORT
REP 477 Response to submissions on CP 249 Remaking ASIC class order on generic financial calculators: [CO 05/1122]

Released 21 April 2016This report highlights the key issues that arose out of the submissions received on Consultation Paper 249 Remaking ASIC class ...

REP-476 - REPORT
REP 476 ASIC enforcement outcomes: July to December 2015

Released 30 March 2016 This report outlines the enforcement results achieved by ASIC during the period from 1 July 2015 to December 2015 (the ...

REP-475 - REPORT
REP 475 Market integrity report: July to December 2015

The market integrity report consists of a three minute video and this webpage. Watch the video Read the transcript of the video Read the media ...

REP-474 - REPORT
REP 474 Culture, conduct and conflicts of interest in vertically integrated businesses in the funds-management industry

Released 21 March 2016 This report is about Australian financial services (AFS) licensees in the funds management industry with multiple business ...

REP-473 - REPORT
REP 473 Response to submissions on CP 239 Disclosure documents: Update to ASIC instruments and guidance

Issued March 2016 This report highlights the key issues that arose out of the submissions received on Consultation Paper 239 Disclosure documents: ...

REP-472 - REPORT
REP 472 Response to submissions on CP 232 Remaking ASIC class orders on superannuation

This report highlights the key issues that arose out of the submissions received on Consultation Paper 232 Remaking ASIC class orders on ...

REP-471 - REPORT
REP 471 The sale of life insurance through car dealers: Taking consumers for a ride

Released 29 February 2016 This report presents ASIC’s findings in relation to the sale of the life insurance components of consumer credit insurance ...

REP-470 - REPORT
REP 470 Buying add-on insurance in car yards: Why it can be hard to say no

Released 26 February 2016 This report is for those with an interest in add-on insurance products (e.g. insurers, lenders, car dealerships, consumers ...

REP-469 - REPORT
REP 469 ASIC regulation of corporate finance: July to December 2015

Released 26 February 2016 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

REP-468 - REPORT
REP 468 Cyber resilience assessment report: ASX Group and Chi-X Australia Pty Ltd

Released 7 March 2016 This report presents the findings of our cyber resilience assessments of ASX Group and Chi-X Australia Pty Ltd. It also ...

REP-467 - REPORT
REP 467 Overview of decisions on relief applications - June to September 2015

Released 11 February 2016 This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

REP-466 - REPORT
REP 466 ASIC’s work to reduce red tape

Released 28 January 2016 This report follows Report 391 ASIC’s deregulatory initiatives (REP 391), which was released in May 2014. It reports ...

REP-465 - REPORT
REP 465 Paying to get out of debt or clear your record: The promise of debt management firms

Released 21 January 2016 This report presents the findings of research into firms that promise to help consumers in financial hardship or with ...

REP-464 - REPORT
REP 464 Australian financial attitudes and behaviour tracker

Key findings from Wave 3: March – August 2015 Released 18 December 2015 The Australian Financial Attitudes and Behaviour Tracker provides a ...

REP-463 - REPORT
REP 463 Response to submissions on CP 238 Remaking ASIC class order on employee redundancy funds: [CO 02/314]

Released 17 December 2015. This report highlights the key issues that arose out of the submissions received on Consultation Paper 238 Remaking ASIC ...

REP-462 - REPORT
REP 462 Identification Report: Commonwealth Financial Planning Limited and Financial Wisdom Limited

Released 17 December 2015. Report prepared by KordaMentha Forensic. This Identification Report has been prepared by KordaMentha Forensic. It has ...

REP-461 - REPORT
REP 461 Audit inspection program report for 2014–15

Released 15 December 2015. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 30 ...

REP-460 - REPORT
REP 460 Response to submissions on Consultation Paper 231 Mandatory central clearing of OTC interest rate derivative transactions

Released 14 December 2015 This report highlights the key issues that arose out of the submissions received on Consultation Paper 231 Mandatory ...

REP-459 - REPORT
REP 459 Professional indemnity insurance market for AFS licensees providing financial product advice

Released 14 December 2015 This report contains our findings about the state of the professional indemnity (PI) insurance market for Australian ...

REP-458 - REPORT
REP 458 National Financial Literacy Strategy Annual Highlights Report 2014–15

Released 19 November 2015 This report is a collective account of activity by ASIC and a range of organisations across the government, business, ...

REP-457 - REPORT
REP 457 Response to submissions on draft Regulatory Guide 97 Disclosing fees and costs in PDSs and periodic statements

Issued 24 November 2015 This report highlights the key issues that arose out of the submissions received on the draft version of Regulatory Guide 97 ...

REP-456 - REPORT
REP 456 Insolvency statistics: External administrators reports (July 2014 to June 2015)

Released 17 November 2015 This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total lodgements ...

REP-455 - REPORT
REP 455 Consumer testing of the Choice product dashboard

Released 11 December 2015 This report was commissioned by ASIC and produced by Latitude Insights. It sets out the results of the consumer testing ...

REP-454 - REPORT
REP 454 Funeral insurance: A snapshot

Released 29 October 2015 This report is for providers of funeral insurance products, consumers of these products and other interested parties (e.g. ...

REP-453 - REPORT
REP 453 Response to submissions on CP 235 Proposed amendments to ASIC market integrity rules for the Chi-X investment product market

Released 29 October 2015 This report highlights the key issues that arose in the submissions received on Consultation Paper 235 Proposed amendments ...

REP-452 - REPORT
REP 452 Review of high-frequency trading and dark liquidity

Released 26 October 2015 This report presents findings from our 2015 reviews of high-frequency trading and dark liquidity. This report: builds ...

REP-451 - REPORT
REP 451 Book up in Indigenous communities in Australia: A national overview

Released 13 October 2015 This report is for providers of book up in Indigenous communities and government and other agencies that work with ...

REP-450 - REPORT
REP 450 Market integrity report: 1 January to 31 June 2015

The market integrity report highlights some of ASIC's achievements from 1 January 2015 to 30 June 2015, and outlines our key priorities for the rest ...

REP-449 - REPORT
REP 449 Overview of decisions on relief applications (February to May 2015)

Released 28 September 2015 This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

REP-448 - REPORT
REP 448 Overview of licensing and professional registration applications: January to June 2015

Released 23 September 2015 This report outlines ASIC’s decisions on applications for the period from 1 January to 30 June 2015 (relevant period) ...

REP-447 - REPORT
REP 447 Cost of consumer leases for household goods

Released 11 September 2015 This report sets out ASIC’s findings on the costs charged by providers of leases of household goods. In undertaking our ...

REP-446 - REPORT
REP 446 ASIC regulation of corporate finance: January to June 2015

Released 21 August 2015 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It ...

Rep-445 - REPORT
REP 445 Review of interest-only home loans

Released 20 August 2015  This report is for holders of Australian credit licences (credit licensees) and highlights the importance of responsible ...

REP-444 - REPORT
REP 444 ASIC enforcement outcomes: January to June 2015

Released 5 August 2015. This report outlines enforcement outcomes achieved by ASIC during the period from 1 January 2015 to 30 June 2015 (the ...

REP-443 - REPORT
REP 443 Response to submissions on CP 224 Facilitating electronic financial services disclosures

Released 28 July 2015 This report highlights the key issues that arose in the submissions received on Consultation Paper 224 Facilitating electronic ...

REP-442 - REPORT
REP 442 Response to submissions on CP 216 Advice on SMSFs

Released 23 July 2015  This report highlights the key issues that arose out of the submissions received on Consultation Paper 216 Advice on ...

REP-441 - REPORT
REP 441 Response to submissions on ASIC’s Regulator Performance Framework evidence metrics

Released 10 July 2015 This report highlights the key issues that arose out of the submissions received on ASIC's proposed Regulator Performance ...

REP-440 - REPORT
REP 440 Financial benchmarks

Released 8 July 2015. This report addresses the potential manipulation of financial benchmarks and related conduct issues. It provides an overview ...

REP-439 - REPORT
REP 439 Snapshot of the Australian hedge funds sector

The purpose of this report is to provide an overview of the Australian hedge funds sector and to present the results of ASIC’s 2014 hedge funds ...

REP-438 - REPORT
REP 438 Response to submissions on CP 228 Collective action by investors: Update to RG 128

This report highlights the key issues that arose out of the submissions received on Consultation Paper 228 Collective action by investors: Update to ...

REP-437 - REPORT
REP 437 Response to submissions on CP 209 Resignation, removal and replacement of auditors: Update to RG 26

Released 18 June 2015 About this report This report highlights the key issues that arose out of the submissions received on Consultation Paper 209 ...

REP-436 - REPORT
REP 436 Australian Financial Attitudes and Behaviour Tracker: Wave 2

Released 11 June 2015 In 2014 ASIC launched the Australian Financial Attitudes and Behaviour Tracker (the Tracker) to track a number of financial ...

REP-435 - REPORT
REP 435 Overview of decisions on relief applications (October 2014 to January 2015)

Released 28 May 2015 About this report This is a report for participants in the capital markets and financial services industry who are prospective ...

REP-434 - REPORT
REP 434 Response to submissions on CP 223: Relief for externally administered companies and registered schemes being wound up—RG 174 update

Released 27 May 2015. This report highlights the key issues that arose out of the submissions received on Consultation Paper 223 Relief for ...

REP-433 - REPORT
REP 433 Overview of licensing and professional registration applications: July to December 2014

Released 20 May 2015 This report outlines ASIC’s decisions on applications for the period from 1 July 2014 to 31 December 2014 (relevant period) ...

REP-432 - REPORT
REP 432 Response to submissions on CP 222 Reducing red tape: Proposed amendments to the market integrity rules

Released 4 May 2015. This report highlights the key issues that arose out of the submissions received on Consultation Paper 222 Reducing red tape: ...

REP-431 - REPORT
REP 431 Comparison report: Commonwealth Financial Planning Limited and Financial Wisdom Limited

Released 23 April 2015. Report prepared by KordaMentha Forensic. The Commonwealth Bank of Australia Group (CBA) includes two financial planning ...

REP-430 - REPORT
REP 430 ASIC regulation of registered liquidators: January to December 2014

Released 16 April 2015 This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

REP-429 - REPORT
REP 429 Cyber resilience: Health check

Released 19 March 2015. The digital age is central to the economic growth and wellbeing of Australians. It brings both opportunities and challenges. ...

REP-428 - REPORT
REP 428 Improving communication with directors of firms in liquidation

Released 18 March 2015. This report was commissioned by ASIC and produced by Queensland Behavioural Economics Group (QuBE). It sets out the results ...

REP-427 - REPORT
REP 427 Investing in hybrid securities: Explanations based on behavioural economics

Issued: March 2015 This report was commissioned by ASIC and produced by Queensland Behavioural Economics Group (QuBE). It sets out the results of ...

REP-426 - REPORT
REP 426 Payday lenders and the new small amount lending provisions

Released 17 March 2015. This report sets out the findings of a review of the payday lending industry and its response to the additional protections ...

REP-425 - REPORT
REP 425 ASIC supervision of markets and participants: July to December 2014

Released 12 March 2015. This report summarises key outcomes of ASIC’s market and participant supervisory and surveillance functions and highlights ...

REP-424 - REPORT
REP 424 Review of no-claims discount schemes

Released 26 February 2015. This report examines the operation of no-claims discount (NCD) schemes for motor vehicle insurance policies, and finds ...

REP-423 - REPORT
REP 423 ASIC regulation of corporate finance: July to December 2014

24 February 2015 This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance. It highlights ...

REP-422 - REPORT
REP 422 Response to submissions on CP 221 Proposed amendments to ASIC Derivative Transaction Rules (Reporting) 2013

Released 13 February 2015. This report highlights the key issues that arose out of the submissions received on Consultation Paper 221 OTC ...

REP-421 - REPORT
REP 421 ASIC enforcement outcomes: July to December 2014

Released 30 January 2015 This report outlines enforcement outcomes achieved by ASIC during the period 1 July 2014 to 31 December 2014. The report ...

REP-420 - REPORT
REP 420 Overview of decisions on relief applications (June to September 2014)

Released 28 January 2015. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

REP-419 - REPORT
REP 419 Australian Financial Attitudes and Behaviour Tracker

Released 17 December 2014. Financial decision-making is complex and contextual. Prior research undertaken suggests that a wide range of shifting ...

REP-418 - REPORT
REP 418 Response to submissions on CP 203 Age pension estimates in superannuation forecasts: Update to RG 229

Released 13 November 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 203 Age pension ...

REP-417 - REPORT
REP 417 Response to submissions on CP 218 Employee incentive schemes

Released 31 October 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 218 Employee ...

REP-416 - REPORT
REP 416 Insuring your home: Consumers’ experiences buying home insurance

Released 28 October 2014. This report was commissioned by ASIC and produced by Susan Bell Research. It sets out the results of research into ...

REP-415 - REPORT
REP 415 Review of the sale of home insurance

Released 28 October 2014. This report presents the findings of our review of the sale of home insurance. The purpose of the review was to ...

REP-414 - REPORT
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests

Released 13 October 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 220 Fundraising: ...

REP-413 - REPORT
REP 413 Review of retail life insurance advice

Released 9 October 2014. This report presents the findings of ASIC’s research into, and surveillance of, personal advice given to consumers about ...

REP-412 - REPORT
REP 412 Insolvency statistics: External administrators' reports

Released 29 September 2014. This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total ...

REP-411 - REPORT
REP 411 Overview of decisions on relief applications (February to May 2014)

Released 25 September 2014. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

REP-410 - REPORT
REP 410 Review of ‘low doc’ home lending following the introduction of the responsible lending obligations

Released 23 September 2014. We reviewed how lenders that provide ‘low doc’ home loans are complying with their responsible lending obligations. ...

REP-409 - REPORT
REP 409 Response to submissions on CP 214 Updated record-keeping obligations for AFS licensees

Released 18 September 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 214 Updated ...

REP-408 - REPORT
REP 408 Review of the implementation of RG 148: Platforms that are managed investment schemes

Released 16 September 2014. This report is for platform operators, including operators of investor directed portfolio services (IDPSs) and ...

REP-407 - REPORT
REP 407 Review of the financial advice industry’s implementation of the FOFA reforms

Released 17 September 2014. Between October 2013 and April 2014 ASIC met with representatives of 60 Australian financial services (AFS) licensees to ...

REP-406 - REPORT
REP 406 ASIC regulation of corporate finance: January to June 2014

Released 29 August 2014. This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance and ...

REP-405 - REPORT
REP 405 ASIC supervision of markets and participants: January to June 2014

Released 21 August 2014. This report summarises key outcomes of ASIC’s market and participant supervisory and surveillance functions and highlights ...

REP-404 - REPORT
REP 404 National Financial Literacy Strategy 2014–17: Action plan

Released 1 August 2014. This action plan is a companion document to the National Financial Literacy Strategy 2014–17 (2014–17 Strategy) published ...

REP-403 - REPORT
REP 403 National Financial Literacy Strategy 2014–17

Released 1 August 2014. The Australian Securities and Investments Commission (ASIC) is the Australian Government agency with lead responsibility ...

REP-402 - REPORT
REP 402 ASIC enforcement outcomes: January to June 2014

Released 31 July 2014. This report outlines enforcement outcomes achieved by ASIC during the period 1 January 2014 to 30 June 2014 (the relevant ...

REP-401 - REPORT
REP 401 Market assessment report: ASX Group

Released 28 July 2014. ASX Limited, ACN 008 624 691 Australian Securities Exchange Limited, ACN 000 943 377 ASX Clear Pty Limited, ACN 001 314 ...

REP-400 - REPORT
REP 400 Responses to feedback on REP 384 Regulating complex products

Released 11 July 2014. This report highlights the feedback received on Report 384 Regulating complex products (REP 384) in relation to the risks ...

REP-399 - REPORT
REP 399 Independent evaluation of ASIC’s implementation of the Helping Our Kids Understand Finances initiative

Released 9 July 2014. This report was commissioned by ASIC and produced by the Australian Council for Educational Research (ACER). It sets out ...

REP-398 - REPORT
REP 398 Fee and cost disclosure: Superannuation and managed investment products

Released 8 July 2014. This report examines the industry practices of superannuation and managed investment product issuers in relation to fee and ...

REP-397 - REPORT
REP 397 Audit inspection program report for 2012–13

Released 27 June 2014. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 31 ...

REP-396 - REPORT
REP 396 Response to submissions on CP 219 Keeping superannuation websites up to date

Released 16 June 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 219 Keeping ...

REP-395 - REPORT
REP 395 Overview of decisions on relief applications October 2013 to January 2014

Released 26 May 2014. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

REP-394 - REPORT
REP 394 Review of recent rule changes affecting dark liquidity

Released 19 May 2014. In this report, we publish the results of our review of the impact on market quality of the meaningful price improvement ...

REP-393 - REPORT
REP 393 Handling of confidential information: Briefings and unannounced corporate transactions

Released 27 May 2014. This report sets out key observations from our review of the way in which listed entities and their advisers handle ...

REP-392 - REPORT
REP 392 Market assessment report: Chi X Australia Pty Ltd

Released 7 May 2014. This report relates to the period from 1 April 2012 to 31 March 2013 (assessment period). Download REP 392 (PDF 246 KB)  

REP-391 - REPORT
REP 391 ASIC's deregulatory initiatives

Released 7 May 2014. This report provides an overview of ASIC’s commitment to reduce compliance costs for our regulated population, including ...

REP-390 - REPORT
REP 390 Review of OTC electricity derivatives market participants' risk management policies

Released 17 April 2014. This report summarises the findings of our review of the risk management policies of Australian financial services (AFS) ...

REP-389 - REPORT
REP 389 ASIC regulation of registered liquidators: January to December 2013

Released 8 April 2014. This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and ...

REP-388 - REPORT
REP 388 Market assessment report: Yieldbroker Pty Limited

Released 2 April 2014. This assessment covers the period 1 October 2012 to 30 September 2013 (the assessment period). Download REP 388 (PDF 131 ...

REP-387 - REPORT
REP 387 Penalties for corporate wrongdoing

Released 20 March 2014. This report outlines the penalties available for a range of corporate wrongdoing under legislation administered by the ...

REP-386 - REPORT
REP 386 ASIC supervision of markets and participants: July to December 2013

Released 19 March 2014. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

REP-385 - REPORT
REP 385 Response to submissions on CP 211 Facilitating electronic offers of securities: Update to RG 107

Released 3 March 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 211 Facilitating ...

REP-384 - REPORT
REP 384 Regulating complex products

Released 31 January 2014. This report examines the risks posed to retail investors by complex products, ASIC’s work in regulating complex products, ...

REP-383 - REPORT
REP 383 ASIC enforcement outcomes: July to December 2013

Released 31 January 2014. This report outlines enforcement outcomes achieved by ASIC during the period 1 July 2013 to 31 December 2013 (the ...

REP-382 - REPORT
REP 382 Overview of decisions on relief applications: June to September 2013

Released 28 January 2014. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

REP-381 - REPORT
REP 381 Response to submissions on CP 208 ASX Managed Funds Service: Relief from the application form requirement

Released 7 January 2014. This report highlights the key issues that arose out of the submissions received on Consultation Paper 208 ASX Managed ...

REP-380 - REPORT
REP 380 Market assessment report: NSX Group

Released 20 December 2013. National Stock Exchange of Australia Limited ACN 000 902 063 SIM Venture Securities Exchange Ltd ACN 087 708 898 This ...

REP-379 - REPORT
REP 379 Market assessment report: Asia Pacific Exchange Limited

Released 12 December 2013. This report relates to the period 1 January 2012 to 1 July 2013 (assessment period). Download REP 379 (PDF 127 KB)   ...

REP-378 - REPORT
REP 378 Consumer testing of the MySuper product dashboard

Released 6 December 2013. This report was commissioned by ASIC and produced by Latitude Insights. It sets out the results of the consumer testing ...

REP-377 - REPORT
REP 377 Review of advice on retail structured products

Released 4 December 2013. This report summarises the results of a review of personal advice to invest in unlisted and unquoted retail structured ...

REP-376 - REPORT
REP 376 Response to submissions on CP 197: Holding scheme property and other assets

Released 21 November 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 197 Holding ...

REP-375 - REPORT
REP 375 National Financial Literacy Stocktake Survey 2013

Released 18 October 2013. In 2013, the Australian Securities and Investments Commission (ASIC) undertook a review of Australia’s National ...

REP-374 - REPORT
REP 374 Shaping a National Financial Literacy Strategy for 2014–17: Consultation feedback report

Released 18 October 2013. Since mid-2008, the Australian Securities and Investments Commission (ASIC) has been the lead Australian Government ...

REP-373 - REPORT
REP 373 Response to submissions on CP 196: Periodic statements for quoted and listed managed investment products and relief for AQUA products

Released 17 October 2013. This report highlights the key issues that arose out of the submissions ASIC received on Consultation Paper 196 Periodic ...

REP-372 - REPORT
REP 372 Insolvency statistics: External administrators reports (July 2012 to June 2013)

Released 17 October 2013. This report is for insolvency practitioners and other interested stakeholders. It presents an overview of total ...

REP-371 - REPORT
REP 371 Overview of decisions on relief applications (February to May 2013)

Released 19 September 2013. This is a report for participants in the capital markets and financial services industry who are prospective ...

REP-370 - REPORT
REP 370 The Australian hedge funds sector and systemic risk

Released 10 September 2013. The purpose of this report is to provide an overview of the Australian hedge funds sector and to review the results of ...

REP-369 - REPORT
REP 369 Response to submissions on CP 210 Demutualisation approval procedure rules: Minimum member participation requirement

Released 30 August 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 210 ...

REP-368 - REPORT
REP 368 Emerging market issuers

Released 27 August 2013. This report sets out key observations from our review of publicly available information on entities listed on Australian ...

REP-367 - REPORT
REP 367 Market assessment report: IMB Ltd

Released 14 August 2013. This assessment covers the period 25 February 2012 to 20 February 2013 (the assessment period). Download REP 367 (PDF ...

REP-366 - REPORT
REP 366 ASIC supervision of markets and participants: January to June 2013

Released 21 August 2013. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

REP-365 - REPORT
REP 365 Hybrid securities

Released 20 August 2013. This report discusses offers of hybrid securities in the Australian market since the global financial crisis, and in ...

REP-364 - REPORT
REP 364 Response to submissions on CP 202 Dark liquidity and high-frequency trading: Proposals

Released 12 August 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 202 Dark liquidity ...

REP-363 - REPORT
REP 363 Market assessment report: Reuters Transaction Services Limited

Released 9 August 2013. This assessment covers the period 19 May 2012 to 22 April 2013 (the assessment period). Download REP 363 (PDF 90 KB)  

REP-362 - REPORT
REP 362 Review of financial advice industry practice: Phase 2

Released 31 July 2013. This report details our findings and recommendations from a review of the 21st to 50th largest Australian financial ...

REP-361 - REPORT
REP 361 Consumer credit insurance policies: Consumers' claims experiences

Released 31 July 2013. This report was commissioned by ASIC and produced by Susan Bell Research. It sets out the results of research into ...

REP-360 - REPORT
REP 360 ASIC enforcement outcomes: January to June 2013

Released 24 July 2013. This report outlines enforcement outcomes achieved by ASIC during the period 1 January 2013 to 30 June 2013 (the relevant ...

REP-359 - REPORT
REP 359 Report on the Australian OTC Derivatives Market: July 2013

Released 17 July 2013 A joint report by the Australian Prudential Regulation Authority (APRA), ASIC and the Reserve Bank of Australia (RBA). ...

REP-358 - REPORT
REP 358 Review of credit assistance providers responsible lending conduct relating to debt consolidation

Released 18 July 2013. This reports sets out our findings following a review of files maintained by credit assistance providers who provided ...

CP-357 - CONSULTATION PAPER
CP 357 Remaking relief for business introduction services: ASIC Instrument 2017/186

Released 25 January 2022. Comments close 15 February 2022. This consultation paper sets out ASIC’s proposals to amend our relief for business ...

REP-357 - REPORT
REP 357 Response to submissions on CP 205: Derivative transaction reporting

Released 11 July 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 205 Derivative ...

CP-356 - CONSULTATION PAPER
CP 356 ETP naming conventions: Updates to INFO 230

Released 20 January 2022. Comments close 3 March 2022. This consultation paper sets out our proposals to update the guidance in Information Sheet 230 ...

REP-356 - REPORT
REP 356 Response to submissions on CP 201: Derivative trade repositories

Released 11 July 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 201 Derivative trade ...

CP-355 - CONSULTATION PAPER
CP 355 Product intervention orders: Short term credit and continuing credit contracts

Released 9 December 2021. Comments closed 21 January 2022. This consultation paper sets out ASIC’s proposal to make, under Pt 7.9A of the ...

REP-355 - REPORT
REP 355 Market assessment report: BGC Partners Australia Pty Limited

Released 3 July 2013. This assessment covers the period 1 July 2011 to 30 June 2012 (the assessment period). Download REP 355 (PDF 194 KB)  

CP-354 - CONSULTATION PAPER
CP 354 ASIC relief for simple arrangements following a hardship notice: [CO 14/41]

Released 8 December 2021. Comments close 1 February 2022. This consultation paper seeks feedback from interested stakeholders on whether ASIC should: ...

REP-354 - REPORT
REP 354 Market assessment report: London Metal Exchange

Released 3 July 2013. This assessment covers the period 11 April 2012 to 9 April 2013 (the assessment period). Download REP 354 (PDF 127 KB)  

CP-353 - CONSULTATION PAPER
CP 353 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015

Released 6 December 2021. Comments closed 24 January 2022. This consultation paper sets out our proposals to modify the contract types that are ...

REP-353 - REPORT
REP 353 Further review of term deposits

Released 4 July 2013. This report is a follow up to Report 185 Review of term deposits (REP 185), released in February 2010, which set out the ...

CP-352 - CONSULTATION PAPER
CP 352 Communicating audit findings to directors, audit committees or senior managers

Released 2 December 2021. Comments close 11 February 2022. The Australian Securities and Investments Commission Act 2001 (ASIC Act) allows the direct ...

REP-352 - REPORT
REP 352 Response to submissions on CP 194: Financial requirements for custodial or depository service providers

Released 28 June 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 194 Financial ...

CP-351 - CONSULTATION PAPER
CP 351 Superannuation forecasts: Update to relief and guidance

Released 18 November 2021. Comments close 28 January 2022. This consultation paper sets out ASIC’s proposals to amend our legislative instruments on ...

REP-351 - REPORT
REP 351 Response to submissions on CP 176 Review of ASIC policy on platforms: Update to RG 148

Released 28 June 2013. This report highlights the key issues that arose out of the submissions ASIC received on Consultation Paper 176 Review of ...

CP-350 - CONSULTATION PAPER
CP 350 Consumer remediation: Further consultation

Released 17 November 2021. Comments close 11 February 2022. This consultation paper is about our updated draft guidance on consumer remediation ...

REP-350 - REPORT
REP 350 Response to submissions on CP 193: Takeovers, compulsory acquisitions and substantial holdings

Released 21 June 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 193 Takeovers, ...

CP-349 - CONSULTATION PAPER
CP 349 Remaking ASIC class order on PDS requirements where a general insurance quote is given: [CO 11/842]

Released 15 November 2021. Comments closed 17 December 2021. This consultation paper sets out ASIC’s proposal to remake our class order on PDS ...

REP-349 - REPORT
REP 349 Market assessment report: Eurex Frankfurt AG

Released 5 June 2013. This assessment covers the period 2 March 2012 to 28 February 2013 (the assessment period). Download REP 349 (PDF 83 KB)   ...

CP-348 - CONSULTATION PAPER
CP 348 Extension of the CFD product intervention order

Released 18 October 2021. Comments closed 29 November 2021. This paper summarises ASIC’s analysis to date of the impact of its product intervention ...

REP-348 - REPORT
REP 348 Response to submissions on CP 190 Small business lending complaints: Update to RG 139

Released 13 June 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 190 Small business ...

CP-347 - CONSULTATION PAPER
CP 347 Proposed amendments to the prohibition on order incentives in the ASIC market integrity rules

Released 25 August 2021. Comments closed 3 November 2021. This paper sets out our proposal to amend the prohibition on order incentives in Part 5.4B ...

REP-347 - REPORT
REP 347 Response to submissions on CP 188 Managed investments: Constitutions (Updates to RG 134)

Released 5 June 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 188 Managed ...

CP-346 - CONSULTATION PAPER
CP 346 The hawking prohibition: Update to RG 38

Released 21 July 2021. Comments closed 18 August 2021. This consultation paper sets out ASIC's proposals for updating Regulatory Guide 38 The hawking ...

REP-346 - REPORT
REP 346 Market assessment report: ICE Futures Europe

Released 24 May 2013. This assessment covers the period 9 February 2012 to 7 February 2013 (the assessment period). Download REP 346 (PDF 85 KB) ...

CP-345 - CONSULTATION PAPER
CP 345 Litigation funding schemes: Guidance and relief

Released 9 July 2021. Comments close 20 August 2021. This consultation paper sets out ASIC’s proposals to: provide guidance on how key definitions ...

REP-345 - REPORT
REP 345 Market assessment report: ASX Group

Released 23 May 2013. ASX Limited, ACN 008 624 691 Australian Securities Exchange Limited, ACN 000 943 377 ASX Clear Pty Limited, ACN 001 314 ...

CP-344 - CONSULTATION PAPER
CP 344 Remaking ASIC class order on when debentures can be called secured notes: [CO 12/1482]

Released 1 July 2021. Comments close 29 July 2021. This consultation paper sets out ASIC’s proposals to remake our class order on when debentures can ...

REP-344 - REPORT
REP 344 Overview of decisions on relief applications: October 2012 to January 2013

Released 23 May 2013. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

CP-343 - CONSULTATION PAPER
CP 343 Crypto-assets as underlying assets for ETPs and other investment products

Released 30 June 2021. Comments close 27 July 2021. This consultation paper is about how exchange traded products (ETPs) that invest in, or provide ...

REP-343 - REPORT
REP 343 Response to submissions on CP 195 Proposed amendments to ASIC market integrity rules: ASX 24 and FEX markets

Released 9 May 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 195 Proposed ...

CP-342 - CONSULTATION PAPER
CP 342 Proposed amendments to the ASIC market integrity rules and other ASIC-made rules

Released 30 June 2021. Comments close 6 August 2021. This paper sets out our proposals to amend the ASIC Market Integrity Rules (Securities Markets) ...

REP-342 - REPORT
REP 342 ASIC regulation of registered liquidators: January to December 2012

Released 1 May 2013. This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

CP-341 - CONSULTATION PAPER
CP 341 Review of the ePayments Code: Further consultation

Released 21 May 2021. Comments closed 2 July 2021. This consultation paper is the second of two papers ASIC has issued on our review of the ePayments ...

REP-341 - REPORT
REP 341 Retail investor research into structured capital protected and capital guaranteed investments

Released 1 May 2013. This report was commissioned by ASIC and produced by Susan Bell Research. It sets out the results of research into retail ...

CP-340 - CONSULTATION PAPER
CP 340 Breach reporting and related obligations

Released 22 April 2021. Comments close 3 June 2021. This consultation paper sets out our proposals for providing guidance to Australian financial ...

REP-340 - REPORT
REP 340 Capital protected and capital guaranteed retail structured products

Released 1 May 2013. This report summarises the results of a ‘health check’, conducted in 2012, on the market in Australia for unlisted and ...

CP-339 - CONSULTATION PAPER
CP 339 Implementing the Royal Commission recommendations: The deferred sales model for add-on insurance

Released 11 March 2021. Comments closed 23 April 2021. This consultation paper seeks feedback on ASIC’s proposed approach to implementation of the ...

REP-339 - REPORT
REP 339 Review of the National Financial Literacy Strategy: Background report

Released 30 April 2013. This report is for people in the business, government, education and community sectors that have an interest in developing ...

CP-338 - CONSULTATION PAPER
CP 338 Remaking ASIC class order on parent entity financial statements: [CO 10/654]

Released 9 February 2021. Comments close 9 March 2021. This consultation paper sets out ASIC’s proposal to remake our class order on parent entity ...

REP-338 - REPORT
REP 338 Response to submissions on CP 185 Litigation schemes and proof of debt schemes: Managing conflicts of interest

Released 22 April 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 185 Litigation ...

CP-337 - CONSULTATION PAPER
CP 337 Externally administered companies: Extending financial reporting and AGM relief

Released 28 January 2021. Comments close 11 March 2021. This consultation paper is about extending the relief available under ASIC Corporations ...

REP-337 - REPORT
REP 337 SMSFs: Improving the quality of advice given to investors

Released 18 April 2013. In 2012, ASIC set up an SMSF taskforce to look at risks in the SMSF sector. ASIC reviewed the quality of a sample of ...

CP-336 - CONSULTATION PAPER
CP 336 Financial requirements: Treatment of lease assets

Released 11 December 2020. Comments close 26 February 2021. This consultation paper is for Australian financial services (AFS) licensees and their ...

REP-336 - REPORT
REP 336 ASIC enforcement outcomes: July to December 2012

Released 9 April 2013. This report outlines enforcement outcomes achieved by ASIC during the period 1 July 2012 to 31 December 2012 (the relevant ...

CP-335 - CONSULTATION PAPER
CP 335 Consumer remediation: Update to RG 256

Released 3 December 2020. Comments closed 26 February 2021. This consultation paper seeks feedback on the key issues we have identified for updating ...

REP-335 - REPORT
REP 335 Market assessment report: Mercari Pty Limited

Released 4 April 2013. This assessment covers the period 1 January 2012 to 31 December 2012 (the assessment period). Download REP 335 (PDF 117 ...

CP-334 - CONSULTATION PAPER
CP 334 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): First consultation

Released 27 November 2020. Comments Close 15 March 2021. This consultation paper sets out our first proposals to amend the ASIC Derivative ...

REP-334 - REPORT
REP 334 Response to submissions on CP 187 Effective disclosure in an operating and financial review

Released 27 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 187 Effective ...

CP-333 - CONSULTATION PAPER
CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing

Released 19 November 2020. Comments close 29 January 2021. This consultation paper seeks feedback on our proposed approach to implementing aspects of ...

REP-333 - REPORT
REP 333 Market assessment report: Yieldbroker Pty Limited

Released 26 March 2013. This assessment covers the period 1 October 2011 to 30 September 2012 (the assessment period). Download REP 333 (PDF 125 ...

CP-332 - CONSULTATION PAPER
CP 332 Promoting access to affordable advice for consumers

Released 17 November 2020. Comments closed 18 January 2021. This consultation paper seeks information from financial advice industry participants and ...

REP-332 - REPORT
REP 332 Response to submissions on CP 181 Retail trading in Commonwealth Government Securities

Released 27 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 181 Retail trading ...

CP-331 - CONSULTATION PAPER
CP 331 Remaking ASIC class orders on unlicensed COI lenders and credit disclosure obligations

Released 29 July 2020. Comments close 20 August 2020 This consultation paper sets out ASIC’s proposals to remake our class orders on unlicensed ...

REP-331 - REPORT
REP 331 Dark liquidity and high-frequency trading

Released 18 March 2013. This report presents findings from the analytical work done by ASIC’s internal taskforces to assess the impact of dark ...

CP-330 - CONSULTATION PAPER
CP 330 Using the product intervention power: Continuing credit contracts

Released 9 July 2020. Comments close 6 August 2020. This consultation paper sets out ASIC’s proposal for using our product intervention power in Pt ...

REP-330 - REPORT
REP 330 Review of licensed credit assistance providers' monitoring and supervision of credit representatives

Released 13 March 2013. This report examines how large credit licensees (identified by the number of their authorised credit representatives), ...

CP-329 - CONSULTATION PAPER
CP 329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure

Released 10 March 2020. Comments close 7 April 2020. This consultation paper is for persons who provide personal advice to retail clients, ...

REP-329 - REPORT
REP 329 Response to submissions on CP 191 FOFA: Approval of codes of conduct for exemption from opt-in requirement

Released 1 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 191 Future of ...

CP-328 - CONSULTATION PAPER
CP 328 Initial public offers: Relief for voluntary escrow arrangements and pre-prospectus communications

Released 24 February 2020. Comments closed 6 April 2020. This consultation paper is about reducing red tape for initial public offers (IPOs). It ...

REP-328 - REPORT
REP 328 Response to submissions on CP 189 Future of Financial Advice: Conflicted remuneration

Released 4 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 189 Future of ...

CP-327 - CONSULTATION PAPER
CP 327 Implementing the Royal Commission recommendations: Mortgage brokers and the best interests duty

Released 20 February 2020. Comments closed 20 March 2020. This consultation paper sets out ASIC's proposals for guidance on reforms relating to ...

REP-327 - REPORT
REP 327 ASIC supervision of markets and participants: July to December 2012

Released 26 February 2013. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions ...

CP-326 - CONSULTATION PAPER
CP 326 Chapter 6 relief for share transfers using s444GA of the Corporations Act

Released 16 January 2020. Comments close 28 February 2020. This consultation paper seeks feedback about the circumstances in which ASIC will grant ...

REP-326 - REPORT
REP 326 Market assessment report: NSX Group

Released 22 February 2013. National Stock Exchange of Australia Limited ACN 000 902 063 SIM Venture Securities Exchange Ltd ACN 087 708 898 This ...

CP-325 - CONSULTATION PAPER
CP 325 Product design and distribution obligations

Released 19 December 2019. Comments close 11 March 2020. This paper sets out ASIC’s proposals for guidance on the design and distribution ...

REP-325 - REPORT
REP 325 Overview of decisions on relief applications: June to September 2012

Released 31 January 2013. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

CP-324 - CONSULTATION PAPER
CP 324 Product intervention: The sale of add-on financial products through caryard intermediaries

Released 1 October 2019. Comments close 12 November 2019. This consultation paper sets out ASIC’s proposal for using our product intervention power ...

REP-324 - REPORT
REP 324 Money market funds

Released 20 December 2012. This report summarises the findings of our review of money market funds in Australia, conducted in the 2011–12 ...

CP-323 - CONSULTATION PAPER
CP 323 Review of school banking programs

Released 30 September 2019. Comments close 31 October 2019. As the lead Australian Government agency for financial capability, ASIC is reviewing ...

REP-323 - REPORT
REP 323 Market assessment report: IMB Ltd

Released 19 December 2012. This assessment covers the period 26 February 2011 to 24 February 2012 (the assessment period). Download REP 323 (PDF ...

CP-322 - CONSULTATION PAPER
CP 322 Product intervention: OTC binary options and CFDs

Released 22 August 2019. Comments closed 1 October 2019. This paper sets out ASIC’s proposals to exercise its product intervention power in Pt 7.9A ...

REP-322 - REPORT
REP 322 Response to submissions on CP 186 Clearing and settlement facilities: International principles and cross border policy (Update to RG 211)

Released 18 December 2012. This report highlights the key issues that arose out of the submissions received to Consultation Paper 186 Clearing and ...

CP-321 - CONSULTATION PAPER
CP 321 Whistleblower policies

Released 7 August 2019. Comments close 18 September 2019. This consultation paper seeks feedback on our proposed guidance for entities that must ...

REP-321 - REPORT
REP 321 Market assessment report: Board of Trade of the City of Chicago Inc. and Chicago Mercantile Exchange Inc

Released 18 December 2012. This assessment covers the period 23 June 2011 to 27 June 2012 (the assessment period). Download REP 321 (PDF 158 KB) ...

CP-320 - CONSULTATION PAPER
CP 320 Remaking ASIC class order on changing scheme constitutions: [CO 09/552]

Released 2 August 2019. Comments close 23 August 2019. This consultation paper sets out ASIC’s proposal to remake our class order which modifies the ...

REP-320 - REPORT
REP 320 Response to submissions on CP 177 Electricity derivative market participants: Financial requirements

Released 13 December 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 177 Electricity ...

CP-319 - CONSULTATION PAPER
CP 319 Securities lending by agents and substantial holding disclosure

Released 29 July 2019. Comments closed 9 September 2019. This paper explains how the concept of relevant interest in s608 and 609 of the Corporations ...

REP-319 - REPORT
REP 319 Response to submissions on CP 182 on the best interests duty and related obligations and CP 183 on scaled advice

Released 13 December 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 182 Future of ...

CP-318 - CONSULTATION PAPER
CP 318 Remaking ASIC class order on departed former temporary residents’ superannuation: [CO 09/437]

Released 10 July 2019. Comments close 21 August 2019. This consultation paper sets out ASIC’s proposal to remake, without significant changes, Class ...

REP-318 - REPORT
REP 318 Response to submissions on CP 171 Strengthening the regulation of research report providers

Released 10 December 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 171 ...

CP-317 - CONSULTATION PAPER
CP 317 Unsolicited telephone sales of direct life insurance and consumer credit insurance

Issued 18 July 2019 This consultation paper is for insurers and Australian financial services (AFS) licensees who sell life insurance or consumer ...

REP-317 - REPORT
REP 317 Audit inspection program report for 2011–12

Released 4 December 2012. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to ...

CP-316 - CONSULTATION PAPER
CP 316 Using the product intervention power: Short term credit

Released 9 July 2019. Comments close 30 July 2019. This consultation paper sets out ASIC’s proposal for using our product intervention power in Pt ...

REP-316 - REPORT
REP 316 Review of client money handling practices in the retail OTC derivatives sector

Released 3 December 2012. This report sets out our observations of the client money handling practices of issuers of over-the-counter (OTC) ...

CP-315 - CONSULTATION PAPER
CP 315 Foreign financial services providers: Further consultation

Released 3 July 2019. Comments close 9 August 2019. This paper is for foreign financial services providers (FFSPs) that wish to provide financial ...

REP-315 - REPORT
REP 315 Market assessment report: Chi X Australia Pty Ltd

Released 29 November 2012. This report relates to the period from 4 May 2011 to 31 March 2012 (assessment period). Download REP 315 (PDF 230 KB) ...

CP-314 - CONSULTATION PAPER
CP 314 Market integrity rules for technological and operational resilience

Released 27 June 2019. Comments close 9 August 2019. This consultation paper seeks feedback on proposed market integrity rules for securities and ...

REP-314 - REPORT
REP 314 Market assessment report: Reuters Transaction Services Limited

Released 22 November 2012. This assessment covers the period 2 July 2011 to 18 May 2012 (the assessment period). Download REP 314 (PDF 86 KB)   ...

CP-313 - CONSULTATION PAPER
CP 313 Product intervention power

Released 26 June 2019. Comments close 7 August 2019. This paper sets out ASIC’s proposals for guidance on exercising the product intervention power ...

REP-313 - REPORT
REP 313 Response to submissions on CP 178 Advertising credit products and credit services

Released 15 November 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 178 Advertising ...

CP-312 - CONSULTATION PAPER
CP 312 Stub equity in control transactions

Released 4 June 2019. Comments closed 17 July 2019. This consultation paper seeks feedback on our proposal to address concerns about certain offers ...

REP-312 - REPORT
REP 312 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 8 November 2012. This assessment covers the period 1 July 2011 to 30 June 2012 (the assessment period). Read REP 312 (PDF 122 KB)  

CP-311 - CONSULTATION PAPER
CP 311 Internal dispute resolution: Update to RG 165

Released 15 March 2019. Comments closed 9 August 2019. This paper seeks feedback on our proposals to update our policy on the internal dispute ...

REP-311 - REPORT
REP 311 Response to submissions on CP 179 and CP 184 Australian market structure: Draft market integrity rules and guidance

Released 21 November 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 179 Australian ...

CP-310 - CONSULTATION PAPER
CP 310 Review of the ePayments Code: Scope of the review

Released 6 March 2019. Comments close 5 April 2019. This consultation paper is the first of two papers ASIC plans to issue on our review of the ...

REP-310 - REPORT
REP 310 Response to submissions on CP 180 ASIC's power to wind up abandoned companies

Released 8 November 2012. This report highlights the key issues arising out of the submissions received on Consultation Paper 180 ASIC’s power to ...

CP-309 - CONSULTATION PAPER
CP 309 Update to RG 209: Credit licensing: Responsible lending conduct

Released 14 February 2019. Comments close 20 May 2019. This consultation paper seeks feedback on ASIC’s proposals for updating our guidance in ...

REP-309 - REPORT
REP 309 Report on the Australian OTC Derivatives Market: October 2012

Released 30 October 2012 A joint report by the Australian Prudential Regulation Authority, ASIC and the Reserve Bank of Australia. The Australian ...

CP-308 - CONSULTATION PAPER
CP 308 Review of RG 97 Disclosing fees and costs in PDSs and periodic statements

Released 8 January 2019. Comments closed 2 April 2019. This consultation paper sets out our response to the recommendations in Report 581 Review of ...

REP-308 - REPORT
REP 308 Response to submissions on CP 172 Review of EDR jurisdiction (debt recovery legal proceedings)

Released 19 October 2012. This report highlights the key issues that arose out of written submissions and informal discussions, as well as the ...

CP-307 - CONSULTATION PAPER
CP 307 Remaking ASIC class order on warrants: Out-of-use notices—[CO 08/781]

Released 13 December 2018. Comments close 6 February 2019. This consultation paper sets out ASIC’s proposal to remake our class order on the ...

REP-307 - REPORT
REP 307 Market assessment report: Asia Pacific Exchange Limited

Released 11 October 2012. This report relates to the period 1 January 2011 to 31 December 2011 (assessment period). Download REP 307 (PDF 220 KB) ...

CP-306 - CONSULTATION PAPER
CP 306 Markets Disciplinary Panel

Released 29 November 2018. Comments close 15 January 2019 (extended to 31 January 2019). ASIC took over responsibility for market supervision in ...

REP-306 - REPORT
REP 306 Market assessment report: Eurex Frankfurt AG

Released 9 October 2012. This assessment covers the period 4 March 2011 to 1 March 2012 (the assessment period). Download REP 306 (PDF 81 KB)   ...

CP-305 - CONSULTATION PAPER
CP 305 Organisational competence requirements for advice licensees: Update to RG 105

Released 8 November 2018. Comments close 6 December 2018. This consultation paper seeks your feedback on our proposals for updating Regulatory Guide ...

REP-305 - REPORT
REP 305 Market assessment report: London Metal Exchange Limited

Released 3 October 2012. This assessment covers the period 2 April 2011 to 10 April 2012 (the assessment period). Download REP 305 (PDF 84 KB)   ...

CP-304 - CONSULTATION PAPER
CP 304 Remaking ASIC class order on share and interest purchase plans: [CO 09/425]

Released 2 October 2018. Comments close 2 November 2018. This consultation paper sets out ASIC’s proposal to remake our class order on share and ...

REP-304 - REPORT
REP 304 Market assessment report: ICE Futures Europe

Released 3 October 2012. This assessment covers the period 9 February 2011 to 8 February 2012 (the assessment period). Download REP 304 (PDF 82 ...

CP-303 - CONSULTATION PAPER
CP 303 Credit cards: Responsible lending assessments

Released 4 July 2018. Comments close 31 July 2018 This consultation paper is for Australian credit licensees (licensees) that are credit providers ...

REP-303 - REPORT
REP 303 Overview of decisions on relief applications: February to May 2012

Released 28 September 2012. This is a report for participants in the capital markets and financial services industry who are prospective ...

CP-302 - CONSULTATION PAPER
CP 302 Proposed changes to ASIC’s capital requirements for market participants

Released 4 July 2018. Comments closed 15 August 2018 This consultation paper sets out our proposed changes to the ASIC Market Integrity Rules ...

REP-302 - REPORT
REP 302 Short selling: Post-implementation review

Released 24 September 2012. This report considers the impact of certain regulatory measures concerning the short selling of shares, which ASIC ...

CP-301 - CONSULTATION PAPER
CP 301 Foreign financial services providers

This consultation paper is for foreign financial services providers (FFSPs) and other relevant stakeholders, such as users of the services provided ...

REP-301 - REPORT
REP 301 Response to submissions on CP 174 Hedge funds: Improving disclosure (Further consultation)

Released 18 September 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 174 Hedge ...

CP-300 - CONSULTATION PAPER
CP 300 Approval and oversight of compliance schemes for financial advisers

Released 15 May 2018. Comments close 28 June 2018. From 1 January 2020, each individual who is authorised to provide personal advice to retail ...

REP-300 - REPORT
REP 300 Review of early termination fees for residential loans entered into before 1 July 2011

Released 18 September 2012. This report sets out the findings from our review of early termination fees charged by lenders on residential loans ...

CP-299 - CONSULTATION PAPER
CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders

Released 14 May 2018. Comments closed 20 June 2018. This consultation paper seeks feedback from short sellers on our proposals to: grant legislative ...

REP-299 - REPORT
REP 299 ASIC enforcement outcomes: January to June 2012

Released 11 September 2012. This report outlines enforcement outcomes achieved by ASIC during the period 1 January 2012 to 30 June 2012. The ...

CP-298 - CONSULTATION PAPER
CP 298 Oversight of the Australian Financial Complaints Authority: Update to RG 139

Released 5 March 2018. Comments close 6 April 2018. This consultation paper sets out our proposals for two aspects of our oversight role regarding ...

REP-298 - REPORT
REP 298 Adequacy of risk management systems of responsible entities

Released 10 September 2012. This report discusses the key findings of a proactive ASIC review of risk management systems of selected responsible ...

CP-297 - CONSULTATION PAPER
CP 297 Retaining ASIC’s fintech licensing exemption

Released 12 December 2017. Comments close 27 February 2018. This consultation paper seeks feedback on our financial technology (fintech) licensing ...

REP-297 - REPORT
REP 297 Insolvency statistics: External administrators reports (1 July 2011 to 30 June 2012)

Released 7 September 2012. This report presents statistical findings from reports lodged electronically by liquidators, receivers and voluntary ...

CP-296 - CONSULTATION PAPER
CP 296 Funds management

Released 26 October 2017. Comments close 8 December 2017. This consultation paper seeks feedback on our proposed guidance in relation to managed ...

REP-296 - REPORT
REP 296 ASIC supervision of markets and participants: January to June 2012

Released 13 August 2012. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

CP-295 - CONSULTATION PAPER
CP 295 National Financial Literacy Strategy Consultation 2017

Released 16 October 2017. Comments closed 1 December 2017. The National Financial Literacy Strategy (National Strategy) provides a framework to ...

REP-295 - REPORT
REP 295 Market assessment report: BGC Partners Australia Pty Limited

Released 7 August 2012. This assessment covers the period 1 July 2010 to 30 June 2011 (the assessment period). Download REP 295 (PDF 130 KB)  

CP-294 - CONSULTATION PAPER
CP 294 The sale of add-on insurance and warranties through caryard intermediaries

Released 24 August 2017. Comments close 23 October 2017. This paper seeks feedback from insurers, credit providers, car dealers, insurance and ...

REP-294 - REPORT
REP 294 Market assessment report: Mercari Pty Limited

Released 7 August 2012. This assessment covers the period 1 January 2011 to 31 December 2011 (the assessment period). Download REP 294 (PDF 116 ...

CP-293 - CONSULTATION PAPER
CP 293 Revising the market licence regime for domestic and overseas operators

Released 20 July 2017. Comments close 31 August 2017. This consultation paper seeks industry feedback on our proposals to implement a tiered market ...

REP-293 - REPORT
REP 293 Response to submissions on CP 156 Retail OTC derivative issuers: Financial requirements

Released 31 July 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 156 Retail OTC ...

CP-292 - CONSULTATION PAPER
CP 292 Implementing the financial benchmark regulatory regime

Released 17 July 2017. Comments close 21 August 2017. This consultation paper seeks feedback on draft rules proposed to apply to the administration ...

REP-292 - REPORT
REP 292 Paying for funerals: How consumers decide to meet the costs

Released 19 July 2012. This report was commissioned by ASIC’s Consumer Advisory Panel and produced by Susan Bell Research. It describes how some ...

CP-291 - CONSULTATION PAPER
CP 291 Reporting rules: Derivative retail client money

Released 11 July 2017. Comments closed 8 August 2017. This consultation paper sets out ASIC’s proposals to make ASIC Client Money Reporting Rules ...

REP-291 - REPORT
REP 291 Custodial and depository services in Australia

Released 5 July 2012. This report is for responsible entities, providers of custodial and depository services, and their clients. It discusses ...

CP-290 - CONSULTATION PAPER
CP 290 Sell-side research

Released 30 June 2017. Comments close 31 August 2017. This consultation paper seeks feedback on our proposals to provide further guidance on ...

REP-290 - REPORT
REP 290 Response to submissions on CP 168 Australian equity market structure: Further proposals

Released 28 June 2012. This report highlights the key issues that arose out of the submissions received to Consultation Paper 168 Australian ...

CP-289 - CONSULTATION PAPER
CP 289 Crowd-sourced funding: Guide for intermediaries

Released 22 June 2017. Comments close 3 August 2017. This consultation paper seeks feedback on our proposed guidance for entities looking to provide ...

REP-289 - REPORT
REP 289 Market assessment report: ASX Group

Released 5 July 2012. ASX Limited, ACN 008 624 691 Australian Securities Exchange Limited, ACN 000 943 377 ASX Clear Pty Limited, ACN 001 314 ...

CP-288 - CONSULTATION PAPER
CP 288 Crowd-sourced funding: Guide for public companies

Released 22 June 2017. Comments close 3 August 2017. This consultation paper seeks feedback on our proposed guidance for public companies seeking to ...

REP-288 - REPORT
REP 288 Overview of decisions on relief applications: October 2011 to January 2012

Released 24 May 2012. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

CP-287 - CONSULTATION PAPER
CP 287 Remaking ASIC class order on mortgage schemes and proposed relief for multiple withdrawal periods

Released 22 June 2017. Comments close 4 August 2017. This consultation paper sets out ASIC’s proposal to remake our class order on mortgage ...

REP-287 - REPORT
REP 287 ASIC regulation of registered liquidators: January to December 2011

Released 22 May 2012. This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

CP-286 - CONSULTATION PAPER
CP 286 Remaking ASIC class orders on mortgage offset accounts and factoring arrangements

Released 7 June 2017. Comments close 6 July 2017. This consultation paper sets out ASIC’s proposals to remake our class orders on mortgage offset ...

REP-286 - REPORT
REP 286 Response to submissions on CP 170 Downstream acquisitions: Update to RG 71

Released 16 May 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 170 Downstream ...

CP-285 - CONSULTATION PAPER
CP 285 Remaking ASIC class order on disclosure relief for an offer to a director or secretary: [CO 04/899]

Released 1 June 2017. Comments close 30 June 2017. This consultation paper sets out ASIC’s proposals to remake our class order on disclosure relief ...

REP-285 - REPORT
REP 285 Response to submissions on CP 141 Mortgage schemes: Strengthening the disclosure benchmarks

Released 9 May 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 141 Mortgage schemes: ...

CP-284 - CONSULTATION PAPER
CP 284 Example Statement of Advice for life insurance: Update to RG 90

Released 31 May 2017. Comments close 31 July 2017. This consultation paper sets out ASIC’s proposals for updating Regulatory Guide 90 Example ...

REP-284 - REPORT
REP 284 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 4 May 2012. This report summarises ASIC’s fifth annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

CP-283 - CONSULTATION PAPER
CP 283 Remaking ASIC class order on credit union member shares: [CO 02/1176]

Released 25 May 2017. Comments close 23 June 2017. This consultation paper sets out ASIC’s proposals to remake our class order on credit union ...

REP-283 - REPORT
REP 283 Response to submissions on CP 175 Carbon markets: Training and financial requirements

Released 2 May 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 175 Carbon markets: ...

CP-282 - CONSULTATION PAPER
CP 282 Remaking ASIC class orders on financial counselling licensing relief

Released 17 May 2017. Comments close 15 June 2017. This consultation paper sets out ASIC’s proposals to remake three ASIC instruments on financial ...

REP-282 - REPORT
REP 282 Regulation of exchange traded funds

Released 29 March 2012. This report is for stakeholders in the exchange traded funds (ETFs) industry. It explains how ETFs are regulated in ...

CP-281 - CONSULTATION PAPER
CP 281 Financial Services Panel

Released 11 April 2017. Comments close 23 May 2017. This consultation paper seeks feedback on our proposal to establish a panel called the Financial ...

REP-281 - REPORT
REP 281 ASIC enforcement outcomes: July to December 2011

Released 29 March 2012. This report outlines enforcement outcomes achieved by ASIC during the period 1 July 2011 to 31 December 2011. The report ...

CP-280 - CONSULTATION PAPER
CP 280 ASIC class order on wholesale equity schemes: Licensing relief for trustees—[CO 07/74]

Released 15 March 2017. Comments close 13 April 2017 This consultation paper sets out ASIC’s proposals to either remake or repeal Class Order [CO ...

REP-280 - REPORT
REP 280 Response to submissions on CP 163 Unlisted property schemes: Update to RG 46

Released 28 March 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 163 Unlisted ...

CP-279 - CONSULTATION PAPER
CP 279 Flex commission arrangements in the car finance industry

Released 3 March 2017. Comments close 27 March 2017 This consultation paper seeks feedback on a draft legislative instrument (draft instrument) to ...

REP-279 - REPORT
REP 279 Shadow shopping study of retirement advice

Released 27 March 2012. In 2011, ASIC conducted shadow shopping research which looked at financial advice about retirement. This report outlines ...

CP-278 - CONSULTATION PAPER
CP 278 Remaking ASIC class order on reporting requirements for AFS licensees who are natural persons

Released 17 February 2017. Comments close 20 March 2017 This consultation paper sets out ASIC’s proposals to remake our class order on reporting ...

REP-278 - REPORT
REP 278 Response to submissions on CP 167 Advertising financial products and advice services

Released 14 February 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 167 Advertising ...

CP-277 - CONSULTATION PAPER
CP 277 Proposals to consolidate the ASIC market integrity rules

Released 24 January 2017. Comments close 7 March 2017 This consultation paper seeks feedback from market operators and participants on our proposals ...

REP-277 - REPORT
REP 277 ASIC supervision of markets and participants: July to December 2011

Released 7 February 2012. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

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 ...

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 ...

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 ...

RG-273 - REGULATORY GUIDE
RG 273 Mortgage brokers: Best interests duty

Issued 24 June 2020 This is a guide for mortgage brokers and other relevant Australian credit licensees. It explains what ASIC looks for when we ...

CP-273 - CONSULTATION PAPER
CP 273 Repealing ASIC class orders on holding client assets

Released 23 November 2016. Comments close 21 December 2016. This consultation paper sets out ASIC’s proposals to repeal class orders on holding ...

REP-273 - REPORT
REP 273 Response to submissions on CP 133 Agribusiness schemes: Improving disclosure for retail investors

Released 30 January 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 133 Agribusiness ...

RG-272 - REGULATORY GUIDE
RG 272 Product intervention power

Issued 17 June 2020 The product intervention power is one of several regulatory tools available to ASIC to improve consumer outcomes. It allows ASIC ...

cp-272 - CONSULTATION PAPER
CP 272 Remaking ASIC class orders on time-sharing schemes

Released 17 November 2016. Comments close 12 January 2017. This consultation paper sets out ASIC’s proposals to remake our class orders on ...

REP-272 - REPORT
REP 272 Response to CP 134 and CP 154 Infrastructure entities: Improving disclosure for retail investors

Released 24 January 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 134 ...

RG-271 - REGULATORY GUIDE
RG 271 Internal dispute resolution

Issued 2 September 2021 This guide is for Australian financial services (AFS) licensees, unlicensed product issuers, unlicensed secondary sellers, ...

CP-271 - CONSULTATION PAPER
CP 271 Remaking and repealing ASIC class orders on internet offers, hawking and PDS obligations

Released 10 November 2016. Comments close 7 December 2016. This consultation paper sets out ASIC’s proposals to remake our class orders on offers ...

REP-271 - REPORT
REP 271 Response to submissions on CP 165 Credit assistance for home loans

Released 22 December 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 165 Credit ...

RG-270 - REGULATORY GUIDE
RG 270 Whistleblower policies

Issued 13 November 2019 This guide is for entities that must have a whistleblower policy under the Corporations Act—public companies, large ...

CP-270 - CONSULTATION PAPER
CP 270 Remaking ASIC class orders on registered schemes

Released October 2016. Comments close 25 November 2016. This consultation paper sets out ASIC’s proposals to remake four of our class orders ...

REP-270 - REPORT
REP 270 Response to submissions on CP 159 Acquisitions approved by members: Update to RG 74

Released 21 December 2011. This report highlights the issues that arose out of submissions received on Consultation Paper 159 Acquisitions ...

RG-269 - REGULATORY GUIDE
RG 269 Approval and oversight of compliance schemes for financial advisers

Issued 28 September 2018 Exemption for compliance scheme cover In October 2019, the Government announced it will accelerate the establishment of ...

CP-269 - CONSULTATION PAPER
CP 269 Remaking ASIC class order on managed investment scheme buy-backs and updating related guidance

Released 12 October 2016. Comments close 23 November 2016. This consultation paper sets out ASIC’s proposals to remake our class order on on-market ...

REP-269 - REPORT
REP 269 Response to submissions on CP 150 Disclosing financial information other than in accordance with accounting standards

Released 9 December 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 150 Disclosing ...

RG-268 - REGULATORY GUIDE
RG 268 Licensing regime for financial benchmark administrators

Issued 12 June 2018 This guide is for entities subject to the ASIC Financial Benchmark (Administration) Rules 2018 and the ASIC Financial Benchmark ...

CP-268 - CONSULTATION PAPER
CP 268 Licensing relief for foreign financial services providers with a limited connection to Australia

Released 28 September 2016. Comments due 2 December 2016. This consultation paper seeks feedback on our proposal to repeal Class Order [CO 03/824] ...

REP-268 - REPORT
REP 268 Response to submissions on CP 160 Credit rating agencies - IOSCO Code Annual Compliance Report

Released 13 December 2011. This report highlights the key issues that arose out of the submissions to Consultation Paper 160 Credit rating ...

INFO-268 - INFORMATION SHEET
FAQs: Regulation and registration of relevant providers who provide tax (financial) advice services

This information sheet (INFO 268) is for relevant providers who provide, or intend to provide, tax (financial) advice services. Note: In this ...

RG-267 - REGULATORY GUIDE
RG 267 Oversight of the Australian Financial Complaints Authority

Issued 2 September 2021 This regulatory guidance sets out how we will perform our oversight role in relation to the Australian Financial Complaints ...

CP-267 - CONSULTATION PAPER
CP 267 Remaking ASIC class orders and guidance on audit and financial reporting

Released 15 August 2016. Comments closed 12 September 2016. This consultation paper sets out ASIC’s proposals to remake our class orders relating to ...

REP-267 - REPORT
REP 267 Market assessment report: Yieldbroker Pty Limited

Released 6 December 2011. This report summarises ASIC’s eighth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

INFO-267 - INFORMATION SHEET
Tips for giving limited advice

This information sheet (INFO 267) is for Australian financial services (AFS) licensees and their representatives who provide personal advice to ...

RG-266 - REGULATORY GUIDE
RG 266 Guidance on ASIC market integrity rules for participants of futures markets

Issued 4 May 2018 This guide is for market participants subject to the ASIC Market Integrity Rules (Futures Markets) 2017 and ASIC Market Integrity ...

CP-266 - CONSULTATION PAPER
CP 266 Remaking ASIC class orders on managed investment schemes: Not for money

Released 10 August 2016. Comments due 9 September 2016. This consultation paper sets out ASIC’s proposals to remake three of our class orders on ...

REP-266 - REPORT
REP 266 Response to submissions on CP 122 Superannuation forecasts: ASIC relief and guidance for super funds

Released 7 December 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 122 ...

INFO-266 - INFORMATION SHEET
FAQs: Records of Advice (ROAs)

This information sheet (INFO 266) answers frequently asked questions (FAQs) about the obligations that apply to a providing entity when providing ...

RG-265 - REGULATORY GUIDE
RG 265 Guidance on ASIC market integrity rules for participants of securities markets

Issued 4 May 2018 This guide is for market participants subject to the ASIC Market Integrity Rules (Securities Markets) 2017 and ASIC Market ...

CP-265 - CONSULTATION PAPER
CP 265 Communicating audit findings to directors, audit committees or senior managers

Released 25 July 2016. Comments due 7 October 2016. The Australian Securities and Investments Commission Act 2001 (ASIC Act) was amended in 2012 to ...

REP-265 - REPORT
REP 265 Market assessment report: ASX Group

Released 23 November 2011. ASX Limited, ACN 008 624 691 Australian Securities Exchange Limited, ACN 000 943 377 ASX Clear Pty Limited, ACN 001 314 ...

INFO-265 - INFORMATION SHEET
Reports of suspicious activity in FICC markets

ASIC is committed to ensuring that Australia’s financial markets are fair and efficient. Fixed income, currencies and commodities (FICC) markets are ...

RG-264 - REGULATORY GUIDE
RG 264 Sell-side research

Issued 21 December 2017 This guide is for Australian financial services (AFS) licensees who are involved in providing research. It supplements our ...

CP-264 - CONSULTATION PAPER
CP 264 Remaking ASIC class order on nominee and custody services and proposed changes to platforms policy

Released 21 July 2016. Comments due 1 September 2016. This consultation paper sets out ASIC’s proposal to remake, with changes, Class Order [CO ...

REP-264 - REPORT
REP 264 Review of micro lenders' responsible lending conduct and disclosure obligations

Released 22 November 2011. This report sets out the findings of a review of loans not involving real property provided by micro lenders between ...

INFO-264 - INFORMATION SHEET
FAQs: Design and distribution obligations for advice licensees and financial advisers

This information sheet (INFO 264) is for Australian financial services (AFS) licensees who are advice licensees and for financial advisers. It ...

RG-263 - REGULATORY GUIDE
RG 263 Financial Services and Credit Panel

Issued 16 November 2017 This guide sets out the principles and processes of the Financial Services and Credit Panel (FSCP). The FSCP sits alongside ...

CP-263 - CONSULTATION PAPER
CP 263 Risk management systems of responsible entities: Further proposals

Released 21 July 2016. Comments due 1 September 2016. This paper sets out our proposals to provide guidance to responsible entities on our ...

REP-263 - REPORT
REP 263 Insolvency statistics: External administrators reports (1 July 2010 to 30 June 2011)

Released 22 November 2011. This report presents statistical findings from reports lodged electronically by liquidators, receivers and voluntary ...

INFO-263 - INFORMATION SHEET
FAQs: Disclosure by listed entities about jobkeeper payments

This information sheet (INFO 263) answers frequently asked questions about a listed entity’s obligation to disclose information about jobkeeper ...

RG-262 - REGULATORY GUIDE
RG 262 Crowd-sourced funding: Guide for intermediaries

Issued 18 October 2018 This guide is for entities providing, or looking to provide, a crowd-funding service as a crowd-sourced funding (CSF) ...

CP-262 - CONSULTATION PAPER
CP 262 Remaking and repealing ASIC class orders on markets and securities

Released 13 July 2016. Comments due 11 August 2016.  This consultation paper sets out ASIC’s proposals to remake an exemption instrument and eight ...

REP-262 - REPORT
REP 262 Review of credit assistance providers' responsible lending conduct focusing on 'low doc' home loans

Released 17 November 2011. This report sets out the findings of a review of home loan applications prepared by credit assistance providers between ...

INFO-262 - INFORMATION SHEET
FAQs: COVID-19 information for advice licensees and financial advisers

This information sheet (INFO 262) is for advice licensees and financial advisers. It contains answers to frequently asked questions (FAQs) about ...

INFO-261 - INFORMATION SHEET
ASIC orders about creditor-defeating dispositions

A creditor-defeating disposition is a disposal of company property that prevents, hinders or significantly delays that property from becoming ...

RG-261 - REGULATORY GUIDE
RG 261 Crowd-sourced funding: Guide for companies

Issued 19 June 2020 This guide is for companies seeking to raise funds through crowd-sourced funding. This guide explains when a company is ...

CP-261 - CONSULTATION PAPER
CP 261 Remaking and repealing ASIC class orders on rights issue notifications and money market deposits

Released 15 June 2016. Comments due 15 July 2016. This consultation paper sets out ASIC’s proposals to remake a class order on rights issue ...

REP-261 - REPORT
REP 261 Response to submissions on CP 155 Prospectus disclosure: Improving disclosure for retail investors

Released 10 November 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 155 Prospectus ...

RG-260 - REGULATORY GUIDE
RG 260 Communicating findings from audit files to directors, audit committees or senior managers

Issued 23 June 2017 This guide is for audit firms as well as the directors, audit committees and senior managers of companies, responsible entities ...

CP-260 - CONSULTATION PAPER
CP 260 Further measures to facilitate innovation in financial services

Released 8 June 2016. Comments due 22 July 2016 This paper seeks feedback from financial technology businesses, financial services providers, ...

REP-260 - REPORT
REP 260 Market assessment report: NSX Ltd group

Released 8 November 2011. National Stock Exchange of Australia Limited, ACN 000 902 063 SIM Venture Securities Exchange Ltd, ACN 087 708 898 ...

RG-259 - REGULATORY GUIDE
RG 259 Risk management systems of responsible entities

Issued 27 March 2017 This guide is for Australian financial services (AFS) licensees that are responsible entities. It gives specific guidance on how ...

CP-259 - CONSULTATION PAPER
CP 259 Repealing ASIC class order on managed investment schemes: No issue required disclosure

Released 30 May 2016. Comments due 28 June 2016 This consultation paper sets out ASIC’s proposal to repeal a class order that we consider is no ...

REP-259 - REPORT
REP 259 Response to submissions on CP 140 Responsible entities: Financial requirements

Released 7 November 2011. This report highlights the key comments received in the submissions on Consultation Paper 140 Responsible entities: ...

INFO-259 - INFORMATION SHEET
Complying with the notify, investigate and remediate obligations

This information sheet (INFO 259) is for: Australian financial services (AFS) licensees who provide personal advice to retail clients Australian ...

INFO-258 - INFORMATION SHEET
Continuing professional education requirements for registered liquidators

This information sheet (INFO 258) is for registered liquidators. It explains: the statutory obligation for a registered liquidator to undertake ...

RG-258 - REGULATORY GUIDE
RG 258 Registered liquidators: Registration, disciplinary actions and insurance requirements

Issued 1 March 2017 This guide is for individuals who are or wish to become registered liquidators under Schedule 2 to the Corporations Act 2001 ...

CP-258 - CONSULTATION PAPER
CP 258 Remaking ASIC class order on differential fees: [CO 03/217]

Released 30 May 2016. Comments due 12 July 2016 This consultation paper sets out ASIC’s proposal to remake our class order on differential fees. ...

REP-258 - REPORT
REP 258 Response to submissions on CP 144 Giving a PDS in telephone sales of general insurance products

Released 28 October 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 144 Giving a PDS ...

RG-257 - REGULATORY GUIDE
RG 257 Testing fintech products and services without holding an AFS or credit licence (withdrawn)

This regulatory guide was withdrawn on 25 August 2020. For information about testing innovative financial services and credit activities, see the ...

CP-257 - CONSULTATION PAPER
CP 257 Improving disclosure of historical financial information in prospectuses

Released 12 May 2016. Comments due 7 July 2016 This consultation paper sets out our proposals to update our guidance in Regulatory Guide 228 ...

REP-257 - REPORT
REP 257 Response to submissions on CP 166 Market integrity rules for non AFS licensee foreign participants and consequential amendments

Released 28 October 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 166 Market ...

INFO-257 - INFORMATION SHEET
ASIC reference checking and information sharing protocol

This information sheet (INFO 257) is for Australian financial services (AFS) licensees and Australian credit licensees (collectively 'licensees'): ...

RG-256 - REGULATORY GUIDE
RG 256 Client review and remediation conducted by advice licensees

Issued 15 September 2016 This guide sets out our guidance on review and remediation conducted by Australian financial services (AFS) licensees who ...

CP-256 - CONSULTATION PAPER
CP 256 Remaking and repealing ASIC class orders on trustee company common funds

Released 24 March 2016. Comments due 27 April 2016 This consultation paper sets out ASIC’s proposals to address two class orders relating to trustee ...

REP-256 - REPORT
REP 256 Consumer credit insurance: A review of sales practices by authorised deposit taking institutions

Released 19 October 2011. This report examines the sales practices of authorised deposit-taking institutions (ADIs) that sell consumer credit ...

INFO-256 - INFORMATION SHEET
FAQs: Ongoing fee arrangements

This information sheet (INFO 256) answers frequently asked questions (FAQs) about the obligations that apply to fee recipients who provide personal ...

RG-255 - REGULATORY GUIDE
RG 255 Providing digital financial product advice to retail clients

Issued 30 August 2016 Digital advice (also known as robo-advice or automated advice) is the provision of automated financial product advice using ...

CP-255 - CONSULTATION PAPER
CP 255 Remaking ASIC class orders on financial services disclosure requirements

Released 23 March 2016. Comments due 26 April 2016 This consultation paper sets out ASIC’s proposals to remake our class orders relating to specific ...

REP-255 - REPORT
REP 255 Market assessment report: Reuters Transaction Services Limited

Released 10 October 2011. This report summarises ASIC’s seventh annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

INFO-255 - INFORMATION SHEET
Activist short selling campaigns in Australia

This information sheet (INFO 255) outlines the practice of activist short selling campaigns in Australia and ASIC's expectations to promote market ...

INFO-254 - INFORMATION SHEET
Debt management services: Applying for a credit licence or variation

This information sheet (INFO 254) is for anyone who provides debt management services. These services were previously not regulated under the ...

RG-254 - REGULATORY GUIDE
RG 254 Offering securities under a disclosure document

Issued 27 August 2020 This guide is for issuers who are required to prepare and lodge a disclosure document under Ch 6D of the Corporations Act 2001 ...

CP-254 - CONSULTATION PAPER
CP 254 Regulating digital financial product advice

Released 21 March 2016. Comments due 16 May 2016 This consultation paper sets out ASIC’s proposed approach to the regulation of digital financial ...

REP-254 - REPORT
REP 254 Response to submissions on CP 127 Schemes of arrangement: Statements under s41117b

Released 22 September 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 127 Schemes of ...

INFO-253 - INFORMATION SHEET
Claims handling and settling: How to comply with your AFS licence obligations

This information sheet (INFO 253) is for anyone who provides claims handling and settling services for insurance products regulated by ASIC. These ...

RG-253 - REGULATORY GUIDE
RG 253 Fundraising: Facilitating offers of CHESS Depository Interests

Issued 13 October 2014 This is a guide for foreign companies listed on Australian financial markets, their advisers, and other persons involved in ...

CP-253 - CONSULTATION PAPER
CP 253 Remaking and repealing ASIC class orders on dollar disclosure

Released 29 February 2016. Comments due 30 March 2016This consultation paper sets out ASIC’s proposals to remake our class orders on dollar ...

REP-253 - REPORT
REP 253 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc

Released 20 September 2011. Board of Trade of the City of Chicago Inc. ARBN 110 594 459 Chicago Mercantile Exchange Inc. ARBN 103 432 391 This ...

RG-252 - REGULATORY GUIDE
RG 252 Keeping superannuation websites up to date

Issued 16 June 2014 This guide explains how remuneration and other information on superannuation websites may be kept up to date under s29QB of the ...

CP-252 - CONSULTATION PAPER
CP 252 Remaking ASIC class order on share and interest sale facilities: [CO 08/10]

Released 16 February 2016. Comments due 18 March 2016 This consultation paper sets out ASIC’s proposals to remake our class order on share and ...

REP-252 - REPORT
REP 252 Overview of decisions on relief applications: February to May 2011

Released 15 September 2011. This is a report for participants in the capital markets and financial services industry who are prospective ...

INFO-252 - INFORMATION SHEET
Managing conduct risk during LIBOR transition

This information sheet (INFO 252) sets out practical guidance on frameworks and practices that both buy-side and sell-side entities can adopt to ...

INFO-251 - INFORMATION SHEET
AFS licensing requirement for trustees of unregistered managed investment schemes

This information sheet (INFO 251) is for trustees of unregistered managed investment schemes (unregistered schemes) that issue, vary or dispose of ...

RG-251 - REGULATORY GUIDE
RG 251 Derivative transaction reporting

Issued 17 March 2020 This guide is for reporting entities that are subject to the reporting obligations under the ASIC Derivative Transaction ...

CP-251 - CONSULTATION PAPER
CP 251 Remaking ASIC class order on financial product advice: Exempt documents—[CO 03/606]

Released 16 February 2016. Comments due 18 March 2016 This consultation paper sets out ASIC’s proposals to remake our class order on financial ...

REP-251 - REPORT
REP 251 Review of financial advice industry practice

Released 13 September 2011. This report details our findings and recommendations from a review of the 20 largest Australian financial services ...

INFO-250 - INFORMATION SHEET
Giving AFS and credit licensees information about their representatives

ASIC may give an Australian financial services (AFS) licensee or an Australian credit licensee (credit licensee) information we have about their ...

RG-250 - REGULATORY GUIDE
RG 250 Guidance on ASIC market integrity rules for risk management and other requirements: ASX 24 market

Issued 21 August 2013 This regulatory guide was superseded on 4 May 2018 by RG 266.

CP-250 - CONSULTATION PAPER
CP 250 Remaking ASIC class orders on property, strata and management rights schemes

Released 8 February 2016. Comments closed 8 March 2016. This consultation paper sets out ASIC’s proposals to remake our class orders on property, ...

REP-250 - REPORT
REP 250 Market assessment report: London Metal Exchange Limited

Released 25 August 2011. This report summarises ASIC’s fourth annual assessment of the London Metal Exchange Limited (LME) under s794C of the ...

INFO-249 - INFORMATION SHEET
Frozen funds – Information for responsible entities

This information sheet (INFO 249) is for responsible entities of registered managed investment schemes (registered schemes) that have become 'frozen ...

RG-249 - REGULATORY GUIDE
RG 249 Derivative trade repositories

Issued 10 April 2015 This guide tells you: when you need an Australian derivative trade repository (ADTR) licence and how to apply for one, ...

CP-249 - CONSULTATION PAPER
CP 249 Remaking ASIC class order on generic financial calculators: [CO 05/1122]

Released 22 December 2015. Comments due by 12 February 2016. This consultation paper sets out ASIC’s proposals to remake our class order on generic ...

REP-249 - REPORT
REP 249 Market assessment report: IMB Ltd

Released 25 August 2011. This report summarises ASIC’s sixth annual assessment of IMB Ltd (IMB) under s794C and 823C of the Corporations Act 2001 ...

INFO-248 - INFORMATION SHEET
INFO 248 Enhanced regulatory sandbox

The Australian Government has introduced the enhanced regulatory sandbox. The enhanced regulatory sandbox (ERS) exemption allows natural persons and ...

RG-248 - REGULATORY GUIDE
RG 248 Litigation schemes and proof of debt schemes: Managing conflicts of interest

Issued 27 March 2013 This guide sets out our approach on how a person who provides a financial service can satisfy the obligation to maintain ...

CP-248 - CONSULTATION PAPER
CP 248 Remaking ASIC class orders on reporting by foreign entities: [CO 98/98] and [CO 02/1432]

Released 22 December 2015. Comments due by 29 February 2016. This consultation paper sets out ASIC’s proposals to remake our class orders relating ...

REP-248 - REPORT
REP 248 Market assessment report: ICE Futures Europe

Released 25 August 2011. This report summarises ASIC’s first annual assessment of ICE Futures Europe (ICE) under s794C of the Corporations Act ...

INFO-247 - INFORMATION SHEET
Company officer obligations under the whistleblower protection provisions

All companies in Australia must comply with the whistleblower protection provisions (whistleblower provisions) in Part 9.4AAA of the Corporations Act ...

RG-247 - REGULATORY GUIDE
RG 247 Effective disclosure in an operating and financial review

Issued 12 August 2019 This guide is for listed entities and their directors. It sets out our guidance for directors on providing useful and ...

CP-247 - CONSULTATION PAPER
CP 247 Client review and remediation programs and update to record-keeping requirements

Released 16 December 2015. Comments due 26 February 2016. This consultation paper sets out ASIC’s proposed guidance on review and remediation ...

REP-247 - REPORT
REP 247 Market assessment report: Eurex Frankfurt AG

Released 25 August 2011. This report summarises ASIC’s seventh annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

INFO-246 - INFORMATION SHEET
Company auditor obligations under the whistleblower protection provisions

Company auditors and members of internal or external audit teams have obligations under the whistleblower protection provisions (whistleblower ...

RG-246 - REGULATORY GUIDE
RG 246 Conflicted and other banned remuneration

Issued 10 December 2020 This guide is for Australian financial services (AFS) licensees and their representatives and other entities that must ...

CP-246 - CONSULTATION PAPER
CP 246 Remaking ASIC class order on securitisation special purpose vehicles: [CO 04/1526]

Released 16 December 2015. Comments due 29 January 2016. This consultation paper sets out ASIC’s proposal to remake our class order on ...

REP-246 - REPORT
REP 246 Response to submissions on CP 146 OTC CFDs: Improving disclosure for retail investors

Released 12 August 2011. This report highlights the key issues that arose out of the submissions received to Consultation Paper 146 ...

RG-245 - REGULATORY GUIDE
RG 245 Fee disclosure statements (withdrawn)

Withdrawn 15 June 2021 This guide has been replaced by Information Sheet 256 FAQs: Ongoing fee arrangements (INFO 256)

CP-245 - CONSULTATION PAPER
CP 245 Retail life insurance advice reforms

Released 15 December 2015. Comments close 29 January 2016. This consultation paper sets out ASIC’s proposals to implement the retail life insurance ...

REP-245 - REPORT
REP 245 Review of general insurance claims handling and internal dispute resolution procedures

Released 10 August 2011. This report examines general insurance claims handling and internal dispute resolution (IDR) procedures in the context of ...

INFO-245 - INFORMATION SHEET
Board oversight of executive variable pay decisions

This information sheet (INFO 245) is for large listed companies and their boards. It explains factors that boards should consider when overseeing and ...

INFO-244 - INFORMATION SHEET
Credit licence applications: Providing information for fit and proper people

This information sheet (INFO 244) is for all Australian credit licence (credit licence) applicants. As a result of recent amendments to the National ...

RG-244 - REGULATORY GUIDE
RG 244 Giving information, general advice and scaled advice

Issued 13 December 2012 This guide is for Australian financial services (AFS) licensees, authorised representatives and advice providers who give ...

CP-244 - CONSULTATION PAPER
CP 244 Remaking ASIC class orders on dealing in underlying investments

Released 4 December 2015. Comments close 15 February 2016. This consultation paper sets out ASIC’s proposals to remake our class orders on dealing ...

REP-244 - REPORT
REP 244 Response to submissions on CP 161 Proposed ASIC market integrity rules for capital and related requirements: ASX ASX 24 and Chi X markets

Released 1 August 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 161 Proposed ASIC ...

INFO-243 - INFORMATION SHEET
Licensing requirements for providers of funeral expenses facilities

This information sheet (INFO 243) outlines the licensing requirements that apply to providers of funeral expenses facilities. These facilities were ...

RG-243 - REGULATORY GUIDE
RG 243 Registration of self-managed superannuation fund auditors

Issued 4 March 2019 This guide is for people who wish to audit self-managed superannuation funds (SMSFs) under the Superannuation Industry ...

CP-243 - CONSULTATION PAPER
CP 243 Remaking ASIC class orders on electronic lodgement of financial reports and dual lodgement relief

Released 19 November 2015 This consultation paper sets out ASIC’s proposals to remake as a single new ASIC instrument our class orders on electronic ...

REP-243 - REPORT
REP 243 ASIC supervision of markets and participants: January to June 2011

Released 13 July 2011. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

RG-242 - REGULATORY GUIDE
RG 242 ASIC’s power to wind up abandoned companies

Issued 17 December 2018 This guide is for employees of abandoned companies who are owed employee entitlements and other interested persons, ...

CP-242 - CONSULTATION PAPER
CP 242 Remaking ASIC class orders on horse racing syndicates and horse breeding schemes

Released 13 November 2015 This consultation paper sets out ASIC’s proposals to remake our class orders on horse racing syndicates and horse breeding ...

REP-242 - REPORT
REP 242 Audit inspection program public report for 2009–10

Released 29 June 2011. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 31 ...

INFO-242 - INFORMATION SHEET
ASIC’s document production guidelines

This information sheet (INFO 242) provides an overview of ASIC’s document production guidelines. The guidelines are designed to help those who ...

RG-241 - REGULATORY GUIDE
RG 241 Electronic trading

Issued 4 May 2018 This guide is for trading participants of the markets operated by ASX Limited, Chi-X Australia Pty Ltd, IR Plus Securities ...

CP-241 - CONSULTATION PAPER
CP 241 Remaking ASIC class orders on foreign licensees and ADIs: [CO 06/68] and [CO 03/823]

Released 1 October 2015 This consultation paper sets out ASIC’s proposals to remake as a single new ASIC instrument our class orders relating to ...

REP-241 - REPORT
REP 241 Overview of decisions on relief applications: October 2010 to January 2011

Released 31 May 2011. This is a report for prospective applicants for relief, including participants in capital markets, financial services ...

INFO-241 - INFORMATION SHEET
Prohibition on influencing employers’ superannuation fund choice: section 68A of the SIS Act

This information sheet (INFO 241) is for trustees of regulated superannuation funds and their associates. It explains: the prohibition in section ...

INFO-240 - INFORMATION SHEET
AFS licence applications: Providing information for fit and proper people and certain authorisations

This information sheet (INFO 240) is for all Australian financial services (AFS) licence applicants. As a result of recent amendments to the ...

RG-240 - REGULATORY GUIDE
RG 240 Hedge funds: Improving disclosure

Issued 3 October 2013 This guide is for those involved in the issue and sale of hedge funds. It sets out our guidance for improved disclosure to ...

CP-240 - CONSULTATION PAPER
CP 240 Remaking ASIC class orders on rounding, directors reports, disclosing entities and other matters

Released 1 October 2015 This consultation paper sets out ASIC’s proposals to remake our class orders relating to financial reporting into ASIC ...

REP-240 - REPORT
REP 240 Compensation for retail investors: The social impact of monetary loss

Released 19 May 2011. This report was commissioned by ASIC’s Consumer Advisory Panel and produced by Susan Bell Research. It explores the social ...

RG-239 - REGULATORY GUIDE
RG 239 Retail OTC derivative issuers: Financial requirements (withdrawn)

This regulatory guide was withdrawn on 1 November 2012. See now RG 166 Licensing: Financial requirements.

CP-239 - CONSULTATION PAPER
CP 239 Disclosure documents: Update to ASIC instruments and guidance

Released 17 September 2015. Comments due 27 November 2015. This consultation paper seeks feedback on our proposals to make new legislative ...

REP-239 - REPORT
REP 239 Market assessment report: Asia Pacific Exchange Limited

Released 9 May 2011. This report summarises ASIC’s seventh annual assessment of Asia Pacific Exchange Limited (APX) under s794C of the ...

INFO-239 - INFORMATION SHEET
How ASIC handles whistleblower reports

We value the people from inside companies and organisations who come to ASIC with reports of potential misconduct or breaches of the law. ...

RG-238 - REGULATORY GUIDE
RG 238 Suspicious activity reporting

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265 and RG 266.

CP-238 - CONSULTATION PAPER
CP 238 Remaking ASIC class order on employee redundancy funds: [CO 02/314]

Released 4 September 2015. Comments due 2 October 2015. This consultation paper sets out ASIC’s proposals to remake our class order on employee ...

REP-238 - REPORT
REP 238 Response to submissions on Consultation Paper 148 Proposed market integrity rules: Chi X market

Released 29 April 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 148 Proposed market ...

INFO-238 - INFORMATION SHEET
Whistleblower rights and protections

Whistleblowers play an important role in identifying and calling out misconduct and harm to consumers and the community. To encourage whistleblowers ...

RG-237 - REGULATORY GUIDE
RG 237 Trustee companies: Transfer determinations by ASIC

Issued 5 June 2012 This guide is for licensed trustee companies providing traditional trustee company services that are seeking to transfer the ...

CP-237 - CONSULTATION PAPER
CP 237 Remaking ASIC class orders on real estate companies: [CO 00/213] and [CO 05/1243]

Released 26 August 2015. Comments due 23 September 2015. This consultation paper sets out ASIC’s proposals to remake our class orders relating to ...

REP-237 - REPORT
REP 237 Response to submissions on Consultation Paper 145 Australian equity market structure: Proposals

Released 29 April 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 145 Australian ...

INFO-237 - INFORMATION SHEET
Protecting against share sale fraud

Australian financial services (AFS) licensees that deal in securities may be vulnerable to share sale fraud. We have identified a rise in the ...

INFO-236 - INFORMATION SHEET
Dispute resolution for Indigenous corporations

Many Indigenous not-for-profit and charitable organisations are set as companies limited by guarantee. This information sheet (INFO 236) explains ...

RG-236 - REGULATORY GUIDE
RG 236 Do I need an AFS licence to participate in carbon markets?

Issued 20 May 2015 This guide is for those who are involved in carbon abatement activities and who enter into carbon abatement contracts related to ...

CP-236 - CONSULTATION PAPER
CP 236 Remaking ASIC class orders on dematerialised securities and CHESS units of foreign securities

Released 24 August 2015. Comments due 21 September 2015. This consultation paper sets out ASIC’s proposals to remake two classorders into ASIC ...

REP-236 - REPORT
REP 236 Response to submissions on CP 138 Dispute resolution requirements and traditional services

Released 20 April 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 138 Dispute ...

INFO-235 - INFORMATION SHEET
Reporting obligations of Indigenous corporations

If you are involved with a not-for-profit and charitable Indigenous organisation and it is set up as a company limited by guarantee it will need to ...

RG-235 - REGULATORY GUIDE
RG 235 Registering your business name

Issued 15 August 2013 This guide is for people who wish to run a business in Australia using a business name. This guide explains when you must ...

CP-235 - CONSULTATION PAPER
CP 235 Proposed amendments to ASIC market integrity rules and instruments for the Chi-X investment product market

Released 20 August 2015. Comments due 9 September 2015. This consultation paper sets out our proposals to amend the ASIC Market Integrity Rules ...

REP-235 - REPORT
REP 235 Response to submissions on CP 107 Securities lending and substantial holding disclosure

Released 15 April 2011. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 107 ...

RG-234 - REGULATORY GUIDE
RG 234 Advertising financial products and services (including credit): Good practice guidance

Issued 15 November 2012 This guide is for promoters of financial products, financial advice services, credit products and credit services, and ...

CP-234 - CONSULTATION PAPER
CP 234 Remaking ASIC class orders on takeovers and schemes of arrangement

Released 4 August 2015. Comments due 2 October 2015.  This consultation paper sets out ASIC’s proposals to remake a number of our class orders ...

REP-234 - REPORT
REP 234 Response to submissions on CP 143 Expert reports and independence of experts

Released 30 March 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 143 Expert reports ...

RG-233 - REGULATORY GUIDE
RG 233 Indirect self-acquisition: Relief for investment funds

Issued 16 February 2012 About this guide This guide is for investment funds and similar entities and controlled entities of listed companies ...

CP-233 - CONSULTATION PAPER
CP 233 Remaking ASIC class orders on financial reporting

Released 16 June 2015. Comments due 17 August 2015. This consultation paper sets out ASIC’s proposals to remake some of our class orders relating to ...

REP-233 - REPORT
REP 233 Response to submissions on CP 142 Related party transactions

Released 30 March 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 142 Related party ...

RG-232 - REGULATORY GUIDE
RG 232 Agribusiness managed investment schemes: Improving disclosure for retail investors

Issued 30 January 2012 This is a guide for responsible entities and others involved with the issue or advertising of interests in agribusiness ...

CP-232 - CONSULTATION PAPER
CP 232 Remaking ASIC class orders on superannuation: [CO 04/1574] and [CO 06/636]

Released 2 June 2015. Comments close 7 August 2015. About this paper This consultation paper sets out ASIC’s proposals to remake our class orders ...

REP-232 - REPORT
REP 232 Market assessment report: BGC Partners Australia Pty Limited

Released 11 March 2011. This report summarises ASIC’s fourth annual assessment of BGC Partners (Australia) Pty Limited (BGCA) under s794C of the ...

INFO-232 - INFORMATION SHEET
Fees for no service: Remediation

This information sheet (INFO 232): explains the background to ASIC’s fees-for-no-service project explains what a fee for no service is provides ...

INFO-231 - INFORMATION SHEET
Guidance on the duties of directors of mutual companies

New ID requirement for directors Company directors need to verify their identity as part of a new director identification number (director ID) ...

RG-231 - REGULATORY GUIDE
RG 231 Infrastructure entities: Improving disclosure for retail investors

Issued 24 January 2012 This guide is for listed and unlisted infrastructure entities and their advisers. It sets out ASIC’s benchmarks and ...

CP-231 - CONSULTATION PAPER
CP 231 Mandatory central clearing of OTC interest rate derivative transactions

Released 28 May 2015. Comments close 10 July 2015. This consultation paper seeks feedback on our proposals to implement mandatory central clearing ...

REP-231 - REPORT
REP 231 Market assessment report: Mercari Pty Limited

Released 11 March 2011. This report summarises ASIC’s sixth annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations Act ...

RG-230 - REGULATORY GUIDE
RG 230 Disclosing non-IFRS financial information

Issued 9 December 2011 This guide is for directors and preparers of financial information. It sets out our guidance on the use of financial ...

CP-230 - CONSULTATION PAPER
CP 230 Remaking ASIC class orders on banking and insurance

Released 26 May 2015. Comments close 7 July 2015. This consultation paper sets out ASIC’s proposals to remake three class orders on banking and ...

REP-230 - REPORT
REP 230 Financial literacy and behavioural change

Released 15 March 2011. This report, which was compiled in 2008 and updated in 2010, takes stock of what ASIC and others have learned about ...

INFO-230 - INFORMATION SHEET
Exchange traded products: Admission guidelines

This information sheet (INFO 230) is for licensed Australian exchanges that admit exchange traded products (ETPs), including certain managed funds, ...

INFO-229 - INFORMATION SHEET
Limited AFS licensees: Complying with your licensing obligations

As a limited Australian financial services (AFS) licensee, you must comply with a number of ongoing licensing obligations. This information sheet ...

RG-229 - REGULATORY GUIDE
RG 229 Superannuation forecasts

Issued 13 November 2014 This is a guide for super fund trustees and their advisers. It explains the relief we have given to trustees to provide ...

CP-229 - CONSULTATION PAPER
CP 229 Repealing redundant ASIC class orders

Released 17 April 2015. Comments close 17 June 2015. This consultation paper sets out ASIC’s proposals to repeal class orders that we consider are ...

REP-229 - REPORT
REP 229 Australian National Financial Literacy Strategy

Released 15 March 2011. This report sets out a strategy for the development and delivery of initiatives to improve the financial literacy of all ...

INFO-228 - INFORMATION SHEET
Limited AFS licensees: Advice conduct and disclosure obligations

This information sheet (INFO 228) sets out the conduct and disclosure obligations that apply to a limited AFS licensee and, in some cases, a ...

RG-228 - REGULATORY GUIDE
RG 228 Prospectuses: Effective disclosure for retail investors

Issued 12 August 2019 This guide is for issuers and advisers. It explains how to word and present prospectuses and other documents in a ‘clear, ...

CP-228 - CONSULTATION PAPER
CP 228 Collective action by investors: Update to RG 128

Released 17 February 2015. Comments closed 20 April 2015. This consultation paper seeks feedback from institutional investors, companies, listed ...

REP-228 - REPORT
REP 228 Market assessment report: Yieldbroker Pty Limited

Released 1 February 2011. This report summarises ASIC’s seventh annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

RG-227 - REGULATORY GUIDE
RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors

Issued 12 August 2011 This guide is for those involved with the issue, sale or advertising of over-the-counter contracts for difference (OTC CFDs), ...

CP-227 - CONSULTATION PAPER
CP 227 Disclosure and reporting requirements for superannuation trustees: s29QC

Released 19 December 2014. Comments closed 13 March 2015. This consultation paper sets out ASIC’s proposals for how the consistency requirements ...

REP-227 - REPORT
REP 227 ASIC supervision of markets and participants: August to December 2010

Released 17 January 2011. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

RG-226 - REGULATORY GUIDE
RG 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi X and APX markets

This regulatory guide was superseded on 4 May 2018 by RG 265 and RG 266.

CP-226 - CONSULTATION PAPER
CP 226 Remaking ASIC class orders on secondary services and general advice

Released 11 December 2014. Comments close 9 February 2015. This consultation paper sets out ASIC’s proposals to remake into ASIC instruments our ...

REP-226 - REPORT
REP 226 Overview of decisions on relief applications: June to September 2010

Released 18 January 2011. This is a report for prospective applicants for relief, including participants in capital markets, financial services ...

INFO-226 - INFORMATION SHEET
Complying with the ASIC Client Money Reporting Rules 2017

Under the ASIC Client Money Reporting Rules 2017 (ASIC Client Money Reporting Rules), Australian financial services (AFS) licensees that hold ...

RG-225 - REGULATORY GUIDE
RG 225 Markets Disciplinary Panel practices and procedures

This guide was superseded on 7 August 2019 by reissued RG 216.  

CP-225 - CONSULTATION PAPER
CP 225 Remaking ASIC class orders on offers of foreign securities

Released 11 December 2014. Comments close 9 February 2015. This consultation paper sets out ASIC’s proposals to remake class orders relating to ...

REP-225 - REPORT
REP 225 Insolvency statistics: External administrators reports (1 July 2007 to 30 June 2010)

Released 21 December 2010. This report presents statistical findings from reports lodged electronically by liquidators, receivers and ...

INFO-225 - INFORMATION SHEET
Crypto-assets

This information sheet (INFO 225) will help you to understand your obligations under the Corporations Act 2001 (Corporations Act) and the Australian ...

RG-224 - REGULATORY GUIDE
RG 224 Guidance on ASIC market integrity rules for Chi-X and APX markets

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265.

CP-224 - CONSULTATION PAPER
CP 224 Facilitating electronic financial services disclosures

Released 14 November 2014. Comments close 16 January 2015. This paper seeks feedback from financial product and services providers, consumers of ...

REP-224 - REPORT
REP 224 Access to financial advice in Australia

Released 23 December 2010. In 2009–10, ASIC conducted research into the demand and supply of financial advice in Australia. The aim of our work ...

INFO-224 - INFORMATION SHEET
ASIC audit inspections

This information sheet (INFO 224) outlines ASIC’s approach to inspecting audit firms. It includes: the objective and scope of our inspections an ...

RG-223 - REGULATORY GUIDE
RG 223 Guidance on ASIC market integrity rules for competition in exchange markets

Issued 4 May 2015 This regulatory guide was superseded on 4 May 2018 by RG 172,  RG 265 and RG 266.

CP-223 - CONSULTATION PAPER
CP 223 Relief for externally administered companies and registered schemes being wound up: RG 174 update

Released 25 August 2014. Comments close 20 October 2014. This consultation paper sets out ASIC’s proposals for updating our guidance in Regulatory ...

REP-223 - REPORT
REP 223 Response to submissions on CP 121 Facilitating online financial services disclosures

Released 13 December 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 121 Facilitating ...

INFO-223 - INFORMATION SHEET
Audit quality - The role of others

This information sheet (INFO 223) outlines how parties other than auditors can contribute to audit quality. While auditors have the primary ...

RG-222 - REGULATORY GUIDE
RG 222 Substantial holding disclosure: Securities lending and prime broking

Issued 15 April 2011 This guide is for persons who engage in securities lending and prime broking activities. It: seeks to improve disclosure of ...

CP-222 - CONSULTATION PAPER
CP 222 Reducing red tape: Proposed amendments to the market integrity rules

Released 21 August 2014. Comments close 2 October 2014. This consultation paper seeks feedback from market participants and investors on proposals ...

REP-222 - REPORT
REP 222 Market assessment report: ASX group

Released 30 November 2010. ASX Limited, ACN 008 624 691 ASX Clear Pty Limited (formerly known as Australian Clearing House Pty Limited), ACN 001 ...

INFO-222 - INFORMATION SHEET
Improving and maintaining audit quality

This information sheet (INFO 222) gives guidance to audit firms when considering how to improve and maintain audit quality. It covers: what audit ...

RG-221 - REGULATORY GUIDE
RG 221 Facilitating digital financial services disclosures

Issued 29 March 2016 This is a guide for financial services providers that use (or plan to use) technology, including email and the internet, to ...

CP-221 - CONSULTATION PAPER
CP 221 OTC derivatives reform: Proposed amendments to the ASIC Derivative Transaction Rules (Reporting) 2013

Released 25 July 2014. Comments close 29 August 2014. This consultation paper seeks feedback on our proposals to amend the ASIC Derivative ...

REP-221 - REPORT
REP 221 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 30 November 2010. This report summarises ASIC’s fourth annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of ...

INFO-221 - INFORMATION SHEET
Internal audit

This information sheet (INFO 221) provides guidance to assist organisations that are considering whether to have an internal audit function, and to ...

INFO-220 - INFORMATION SHEET
Managed investment schemes: Common registration issues

This content has been relocated - see Managed investment schemes: Common registration issues.

RG-220 - REGULATORY GUIDE
RG 220 Early termination fees for residential loans: Unconscionable fees and unfair contract terms

Issued 31 August 2011 This is a guide for lenders who provide home loans or residential investment loans (residential loans) regulated by the ...

CP-220 - CONSULTATION PAPER
CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests

Released 28 May 2014. Comments closed 25 July 2014. This consultation paper is for foreign companies listed on Australian exchange markets, their ...

REP-220 - REPORT
REP 220 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc

Released 30 November 2010. Board of Trade of the City of Chicago Inc. ARBN 110 594 459 Chicago Mercantile Exchange Inc. ARBN 103 432 391 This ...

RG-219 - REGULATORY GUIDE
RG 219 Non-standard margin lending facilities: Disclosure to investors

Issued 10 November 2010 This is a guide for providers, advisers and others involved with the issue of non-standard margin lending facilities. It ...

CP-219 - CONSULTATION PAPER
CP 219 Keeping superannuation websites up to date

Released 28 November 2013. Comments closed 3 February 2014. This consultation paper sets out ASIC’s proposals for how remuneration and other ...

REP-219 - REPORT
REP 219 Market assessment report: Reuters Transaction Services Limited

Released 30 November 2010. This report summarises ASIC’s sixth annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

INFO-219 - INFORMATION SHEET
Evaluating distributed ledger technology

This information sheet (INFO 219) is for both existing licensees and start-ups that are considering operating market infrastructure, or providing ...

RG-218 - REGULATORY GUIDE
RG 218 Licensing: Administrative action against persons engaging in credit activities

Issued 25 November 2010 This guide is for credit licensees and their representatives, as well as registered persons who engage in credit activities ...

CP-218 - CONSULTATION PAPER
CP 218 Employee incentive schemes

Released 14 November 2013. Comments closed 31 January 2014. This consultation paper is for persons offering and receiving shares or other financial ...

REP-218 - REPORT
REP 218 Electronic Funds Transfer Code of Conduct review: Feedback on CP 90 and final positions

Released 1 December 2010. This report details the final outcomes of the Electronic Funds Transfer Code of Conduct (EFT Code) review. It follows on ...

INFO-218 - INFORMATION SHEET
Disputes about life insurance

This information sheet (INFO 218) explains what you should do if you have a complaint about your life insurance policy. It covers how to resolve your ...

RG-217 - REGULATORY GUIDE
RG 217 Duty to prevent insolvent trading: Guide for directors

Issued 31 August 2020 This guide is for directors and their professional advisers. It may also be of interest to registered liquidators and ...

CP-217 - CONSULTATION PAPER
CP 217 Presentation of financial statements by stapled entities

Released 11 October 2013. Comments closed 30 November 2013. This consultation paper seeks your feedback on our proposal to issue an ASIC class order ...

REP-217 - REPORT
REP 217 Overview of decisions on relief applications: December 2009 to May 2010

Released 17 November 2010. This report is for prospective applicants for relief, including participants in capital markets, financial services ...

INFO-217 - INFORMATION SHEET
Licensing relief for low volume financial markets

Under the Corporations (Low Volume Financial Markets) Instrument 2016/888 certain low volume financial markets are exempt from Part 7.2 of the ...

INFO-216 - INFORMATION SHEET
AFS licensing requirements for accountants who provide SMSF services

This information sheet (INFO 216) is for accountants who provide services relating to self-managed superannuation funds (SMSFs). These services are ...

RG-216 - REGULATORY GUIDE
RG 216 Markets Disciplinary Panel

Issued 21 January 2021 This guide is for those who are subject to the market integrity rules—principally, market participants. It explains the ...

CP-216 - CONSULTATION PAPER
CP 216 Advice on self-managed superannuation funds: Specific disclosure requirements and SMSF costs

Released 16 September 2013. Comments closed 11 November 2013. This consultation paper sets out ASIC’s proposal to require Australian financial ...

REP-216 - REPORT
REP 216 Response to submissions on CP 135 Mortgage exit fees: Unconscionable fees and unfair contract terms

Released 10 November 2010. This report highlights the key issues that arose out of the submissions received to Consultation Paper 135 Mortgage ...

RG-215 - REGULATORY GUIDE
RG 215 Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265.

CP-215 - CONSULTATION PAPER
CP 215 Assessment and approval of training courses for financial product advisers: Update to RG 146

Released 19 August 2013. Comments closed 30 September 2013. Download CP 215 (PDF 212 KB) | Read the media release In 2013 we released two ...

REP-215 - REPORT
REP 215 Australian equity market structure

Released 4 November 2010. This report provides background and supplementary information and analysis on selected issues discussed in Consultation ...

INFO-215 - INFORMATION SHEET
Companies limited by guarantee - Disputes about members' rights

A company limited by guarantee is a common company structure used for not-for-profit and charitable organisations in Australia that reinvest any ...

RG-214 - REGULATORY GUIDE
RG 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265 and RG 266.    

CP-214 - CONSULTATION PAPER
CP 214 Updated record keeping obligations for AFS licensees

Released 31 July 2013. Comments closed 23 October 2013. This consultation paper sets out our proposals to update the record-keeping obligations for ...

REP-214 - REPORT
REP 214 Review of superannuation PDSs

Released 28 October 2010. This report arises from ASIC’s review of superannuation Product Disclosure Statements (PDSs). It outlines our concerns, ...

INFO-214 - INFORMATION SHEET
Mining and resources - Forward-looking statements

It is common for investors in mining and resources companies to put a lot of emphasis on 'forward-looking statements' when considering an investment. ...

RG-213 - REGULATORY GUIDE
RG 213 Facilitating debt raising

Issued 11 May 2012 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

CP-213 - CONSULTATION PAPER
CP 213 Greyhound racing and breeding syndicate schemes

Released 23 July 2013. Comments closed 27 August 2013. This consultation paper sets out ASIC’s proposals for relief to allow interests in certain ...

REP-213 - REPORT
REP 213 National insolvent trading program report

Released 13 October 2010. This report sets out the key messages and outcomes identified by ASIC’s national insolvent trading program. We expect ...

INFO-213 - INFORMATION SHEET
Marketplace lending (peer-to-peer lending) products

This information sheet (INFO 213) gives guidance to assist providers of marketplace lending products and others providing financial services in ...

RG-212 - REGULATORY GUIDE
RG 212 Client money relating to dealing in OTC derivatives

Issued 4 April 2018 This is a guide for Australian financial services (AFS) licensees who are required to hold client money and for investors who ...

CP-212 - CONSULTATION PAPER
CP 212 Licensing: Training of financial product advisers – Updates to RG 146

Released 24 June 2013. Comments closed 30 September 2013. Download CP 212 (PDF 632 KB) | Read the media release In 2013 we released two ...

REP-212 - REPORT
REP 212 Market assessment report: Eurex Frankfurt AG

Released 9 August 2010. This report summarises ASIC’s sixth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

INFO-212 - INFORMATION SHEET
Concerns about illegal phoenix activity

This information sheet (INFO 212) explains what you can do if you are concerned about or suspect illegal phoenix activity, are dealing with an ...

RG-211 - REGULATORY GUIDE
RG 211 Clearing and settlement facilities: Australian and overseas operators

Issued 18 December 2012 This guide tells you: when you need an Australian clearing and settlement (CS) facility licence and how to apply for one, ...

CP-211 - CONSULTATION PAPER
CP 211 Facilitating electronic offers of securities: Update to RG 107

Released 17 June 2013. Comments closed 12 August 2013. This consultation paper sets out ASIC’s proposals for updating our guidance in Regulatory ...

REP-211 - REPORT
REP 211 Market assessment report: EBS Service Company Limited

Released 9 August 2010. This report summarises ASIC’s sixth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

INFO-211 - INFORMATION SHEET
Unfair contract term protections for small businesses

In November 2016, the Australian Consumer Law was extended to protect small businesses from unfair contract terms. The unfair contract terms ...

CP-210 - CONSULTATION PAPER
CP 210 Demutualisation approval procedure rules: Minimum member participation requirement

Released 11 June 2013. Comments closed 5 July 2013. This consultation paper sets out our proposals on the approach ASIC should take when ...

REP-210 - REPORT
REP 210 Response to submissions on CP 124 Duty to prevent insolvent trading: Guide for directors

Released 29 July 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 124 Duty to prevent ...

RG-210 - REGULATORY GUIDE
RG 210 Compensation and insurance arrangements for credit licensees

If you are a credit licensee (and not also regulated by APRA) you must have adequate arrangements in place for compensating consumers. The primary ...

INFO-210 - INFORMATION SHEET
Unfair contract term protections for consumers

This information sheet (INFO 210) explains how the law protects consumers from unfair terms in contracts for financial products and services. It ...

RG-209 - REGULATORY GUIDE
RG 209 Credit licensing: Responsible lending conduct

Issued 9 December 2019 This is a guide for credit licensees and credit applicants. It sets out ASIC’s views on what the responsible lending ...

CP-209 - CONSULTATION PAPER
CP 209 Resignation removal and replacement of auditors: Update to RG 26

Released 30 May 2013. Comments closed 30 August 2013. This consultation paper sets out ASIC’s proposals for updating our guidance in Regulatory ...

REP-209 - REPORT
REP 209 Market assessment report: London Metal Exchange Limited

Released 21 July 2010. This report summarises ASIC's third annual assessment of The London Metal Exchange Limited (LME) under s794C of the ...

INFO-209 - INFORMATION SHEET
Review of high-frequency trading and dark liquidity (2015)

On 26 October, we released Report 452 Review of high-frequency trading and dark liquidity (REP 452), examining the effect of high-frequency trading ...

RG-208 - REGULATORY GUIDE
RG 208 How ASIC charges fees for credit relief applications

Issued 27 July 2020 This guide is for applicants for credit relief and their advisers. It describes our approach to charging fees for credit relief ...

CP-208 - CONSULTATION PAPER
CP 208 ASX Managed Funds Service: Relief from the application form requirement

Released 30 May 2013. Comments closed 11 July 2013. This consultation paper is for investors, responsible entities, ASX market participants, ASX ...

REP-208 - REPORT
REP 208 Market assessment report: IMB Limited

Released 21 July 2010. This report summarises ASIC's 5th annual assessment of IMB Limited (IMBL) under s794C(2) and 823C(2) of the Corporations ...

INFO-208 - INFORMATION SHEET
When companies break laws that ASIC does not enforce

This information sheet (INFO 208) explains who to contact if you are concerned that a company, company director or other company officer may have ...

CP-207 - CONSULTATION PAPER
CP 207 Charitable investment fundraisers

Released 20 May 2013. Comments closed 15 July 2013. This consultation paper seeks feedback on the following two options for amending exemptions ...

REP-207 - REPORT
REP 207 Response to submissions on CP 136 Markets Disciplinary Panel

Released 29 July 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 136 Markets ...

RG-207 - REGULATORY GUIDE
RG 207 Credit licensing: Financial requirements

Issued 1 April 2020 An Australian credit licensee must comply with the obligation to have adequate financial resources in s47(1)(l) of the National ...

INFO-207 - INFORMATION SHEET
Disputes about commercial loans

This information sheet (INFO 207) gives guidance on complaints about commercial loans. It explains: the legal protection that applies to consumer ...

CP-206 - CONSULTATION PAPER
CP 206 Shaping a National Financial Literacy Strategy for 2014 16

Released 30 April 2013. Comments closed 30 June 2013. In 2008, the Australian Securities and Investments Commission (ASIC) was appointed as the ...

REP-206 - REPORT
REP 206 Market assessment report: NSX Ltd group

Released 15 July 2010. National Stock Exchange of Australia Limited, ACN 000 902 063 Bendigo Stock Exchange Limited, ACN 087 708 898 This report ...

INFO-206 - INFORMATION SHEET
Advice on self-managed superannuation funds: Disclosure of costs

This information sheet (INFO 206) provides guidance for Australian financial services (AFS) licensees (including limited AFS licensees) and their ...

RG-206 - REGULATORY GUIDE
RG 206 Credit licensing: Competence and training

Issued 1 April 2020 Credit licensees must comply with the organisational competence obligation in s47(1)(f) of the National Credit Act and licence ...

CP-205 - CONSULTATION PAPER
CP 205 Derivative transaction reporting

Released 28 March 2013. Comments closed 1 May 2013. This consultation paper seeks feedback on our proposals to implement a derivative transaction ...

REP-205 - REPORT
REP 205 Contracts for difference and retail investors

Released 11 July 2010. This report summarises the results of a ‘health check’, conducted by ASIC in 2009, on the contracts for difference (CFD) ...

INFO-205 - INFORMATION SHEET
Advice on self-managed superannuation funds: Disclosure of risks

This information sheet (INFO 205) provides guidance for Australian financial services (AFS) licensees (including limited AFS licensees) and their ...

RG-205 - REGULATORY GUIDE
RG 205 Credit licensing: General conduct obligations

Issued 1 April 2020 Credit licensees must comply with general conduct obligations: see s47(1) of the National Consumer Credit Protection Act ...

RG-204 - REGULATORY GUIDE
RG 204 Applying for and varying a credit licence

Issued 22 October 2020 This guide is for people who want to apply for an Australian credit licence that authorises them to engage in credit ...

CP-204 - CONSULTATION PAPER
CP 204 Risk management systems of responsible entities

Released 21 March 2013. Comments closed 3 May 2013. This paper sets out our proposals for regulatory requirements and guidance relating to the ...

REP-204 - REPORT
REP 204 Response to submissions on CP 131 Proposed ASIC Market Integrity Rules: ASX and SFE markets

Released 8 July 2010. This report highlights the issues that arose out of submissions received on Consultation Paper 131 Proposed ASIC Market ...

INFO-204 - INFORMATION SHEET
Recovery of investigation expenses and costs

This information sheet (INFO 204) is for people who: are being investigated by ASIC have been convicted of an offence in a prosecution begun as a ...

RG-203 - REGULATORY GUIDE
RG 203 Do I need a credit licence?

Issued 12 October 2017 This guide is for people who may engage in credit activities as defined in the National Consumer Credit Protection Act ...

CP-203 - CONSULTATION PAPER
CP 203 Age pension estimates in superannuation forecasts: Update to RG 229

Released 20 March 2013. Comments closed 19 April 2013. This consultation paper sets out ASIC’s proposed refinements to our policy on ...

REP-203 - REPORT
REP 203 Overview of decisions on relief applications: August to November 2009

Released 5 July 2010. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

INFO-203 - INFORMATION SHEET
Impairment of non-financial assets: Materials for directors

This information sheet (INFO 203) explains your responsibilities as a director in connection with the testing of non-financial assets for impairment ...

RG-202 - REGULATORY GUIDE
RG 202 Credit registration and transition (withdrawn)

This regulatory guide has been withdrawn. For guidance on carried-over-instruments see INFO 110 Lenders with carried over instruments.  

CP-202 - CONSULTATION PAPER
CP 202 Dark liquidity and high frequency trading: Proposals

Released 18 March 2013. Comments closed 10 May 2013. This consultation paper is for market operators and market participants of Australia’s equity ...

REP-202 - REPORT
REP 202 Response to submissions on CP 114 Client money relating to dealing in OTC derivatives

Released 11 July 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 114 Client money ...

INFO-202 - INFORMATION SHEET
Disputes about the financial advisers register

This information sheets explains: the financial advisers register what an Australian financial services (AFS) licensee’s obligations are when ...

RG-201 - REGULATORY GUIDE
RG 201 Unsolicited credit cards and debit cards

Issued 15 July 2010 This is a guide for people (card providers) who send out credit or debit cards to consumers. It sets out ASIC’s position on the ...

CP-201 - CONSULTATION PAPER
CP 201 Derivative trade repositories

Released 15 March 2013. Comments closed 12 April 2013. This consultation paper seeks the views of stakeholders, including potential operators of ...

REP-201 - REPORT
REP 201 Review of disclosure for capital protected products and retail structured or derivative products

Released 22 July 2010. This report summarises ASIC’s key findings from our review of selected Product Disclosure Statements (PDSs) for capital ...

INFO-201 - INFORMATION SHEET
Failure to display a business name

This information sheet (INFO 201) explains what you should do if you have a dispute with a business because they have not displayed their business ...

RG-200 - REGULATORY GUIDE
RG 200 Advice to super fund members

This regulatory guide has been withdrawn. See now RG 244 Giving information general advice and scaled advice.

CP-200 - CONSULTATION PAPER
CP 200 Managed discretionary accounts - Updates to RG 179

Released 8 March 2013. Comments closed 19 April 2013. This consultation paper sets out our proposed changes to our regulatory approach to managed ...

REP-200 - REPORT
REP 200 Response to submissions on CP 123 Debentures: Strengthening the disclosure benchmarks

Released 25 June 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 123 Debentures: ...

INFO-200 - INFORMATION SHEET
Unregistered business names

This information sheet (INFO 200) explains when a business should register their name. It also includes information about dealing with unregistered ...

RG-199 - REGULATORY GUIDE
RG 199 Broadening the rights issue and dividend reinvestment plan exceptions for takeovers (withdrawn)

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-199 - CONSULTATION PAPER
CP 199 Debentures - Reform to strengthen regulation

Released 13 February 2013. Comments closed 28 March 2013. This consultation paper seeks feedback on reform proposals to strengthen the regulation ...

REP-199 - REPORT
REP 199 Market assessment report: Asia Pacific Exchange Limited

Released 3 June 2010. This report summarises ASIC’s sixth assessment of Asia Pacific Exchange Limited (APX) under s794C of the Corporations Act ...

INFO-199 - INFORMATION SHEET
Disputes about similar company names

This information sheet (INFO 199) explains what to do about disputes arising between two companies that have similar names. Disputes often arise ...

INFO-198 - INFORMATION SHEET
Extended warranties

This information sheet (INFO 198) deals with extended warranties and how they fit into the regulatory regime under the Corporations Act 2001 ...

RG-198 - REGULATORY GUIDE
RG 198 Unlisted disclosing entities: Continuous disclosure obligations

Issued 18 June 2009 This guide is for unlisted disclosing entities and their advisers.It provides guidance on how unlisted disclosing entities ...

CP-198 - CONSULTATION PAPER
CP 198 Review of the effectiveness of an online database for small amount lenders

Released 25 January 2013. Comments closed 21 February 2013. This consultation paper explains the background and scope of ASIC’s review of whether ...

REP-198 - REPORT
REP 198 Market assessment report: Mercari Pty Limited

Released 6 May 2010. This report summarises ASIC’s fifth annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations Act ...

RG-197 - REGULATORY GUIDE
RG 197 Warrants: Out-of-use notices

Issued 4 November 2008 This guide is for issuers of warrants offered under a Product Disclosure Statement (PDS) or Supplementary PDS covering two or ...

CP-197 - CONSULTATION PAPER
CP 197 Holding scheme property and other assets

Released 20 December 2012. Comments closed 28 February 2013. This consultation paper seeks feedback on our proposals to update our guidance for ...

REP-197 - REPORT
REP 197 Response to submissions on CP 132 Trustee companies: Financial requirements and conduct obligations

Released 7 May 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 132 Trustee companies: ...

RG-196 - REGULATORY GUIDE
RG 196 Short selling

Issued 8 October 2018 This guide contains an overview of the short selling provisions of the Corporations Act 2001 and the Corporations Regulations ...

CP-196 - CONSULTATION PAPER
CP 196 Periodic statements for quoted and listed managed investment products and relief for AQUA products

Released 17 December 2012. Comments closed 10 February 2013. The consultation paper sets out ASIC’s proposals for relief to allow issuers of ...

REP-196 - REPORT
REP 196 Response to submissions on CP 126 Facilitating debt raising

Released 11 May 2010. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 126 ...

INFO-196 - INFORMATION SHEET
Audit quality – The role of directors and audit committees

This information sheet (INFO 196) explains: why audit quality is important the auditor's responsibilities the roles of directors and audit ...

RG-195 - REGULATORY GUIDE
RG 195 Group purchasing bodies for insurance and risk products

Issued 29 June 2010 This is a guide for group purchasing bodies—that is, persons who arrange or hold risk management products to cover other ...

CP-195 - CONSULTATION PAPER
CP 195 Proposed amendments to ASIC market integrity rules - ASX 24 and FEX markets

Released 15 November 2012. Comments closed 21 December 2012. This consultation paper sets out our proposals for amending the ASIC Market Integrity ...

REP-195 - REPORT
REP 195 Response to submissions on CP 112 Dispute resolution requirements for credit and margin lending

Released 7 May 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 112 Dispute resolution ...

INFO-195 - INFORMATION SHEET
ePayments Code-Reporting data on unauthorised transactions

Updated 11 September 2018. ASIC has placed a temporary pause on the unauthorised transactions data reporting requirements. For the 2018 and 2019 ...

RG-194 - REGULATORY GUIDE
RG 194 Insurance requirements for registered liquidators (withdrawn)

This regulatory guide has been withdrawn (refer: 17-047MR). See now RG 258 Registered liquidators: Registration, disciplinary actions and insurance ...

CP-194 - CONSULTATION PAPER
CP 194 Financial requirements for custodial or depository service providers

Released 14 November 2012. Comments closed 14 January 2013. This consultation paper sets out ASIC’s proposed financial requirements for custodial or ...

REP-194 - REPORT
REP 194 Response to submissions on CP 120 Operators of clearing and settlement facilities

Released 20 April 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 120 Operators of ...

INFO-194 - INFORMATION SHEET
Protecting yourself when you supply goods and services on credit

Who is a creditor? You are a creditor of a company if the company owes you money. Usually, a creditor is owed money because they have provided goods ...

RG-193 - REGULATORY GUIDE
RG 193 Notification of directors’ interests in securities: Listed companies

Issued 27 June 2008 This guide provides information for directors of Australian listed publiccompanies about their obligations under s205G of the ...

CP-193 - CONSULTATION PAPER
CP 193 Takeovers compulsory acquisition and substantial holdings - Update of ASIC guidance

Released 14 November 2012. Comments closed 22 February 2013. This consultation paper seeks feedback on our proposal to update and consolidate a ...

REP-193 - REPORT
REP 193 Response to submissions on CP 125 Compensation requirements for credit licensees: Further consultation

Released 30 March 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 125 Compensation ...

INFO-193 - INFORMATION SHEET
Disputes about share registry services

When do share registry disputes arise? A company providing share registry services generally acts as an agent for a company of which you are a ...

RG-192 - REGULATORY GUIDE
RG 192 Licensing: Wholesale equity schemes

Issued 4 September 2018  This is a guide for trustees and managers of wholesale equity schemes and their advisers. It is particularly relevant to ...

CP-192 - CONSULTATION PAPER
CP 192 Competency standards for auditors of self managed superannuation funds

Released 14 November 2012. Comments closed 30 November 2012. This consultation paper sets out proposed competency standards for auditors of ...

REP-192 - REPORT
REP 192 Audit inspection program public report for 2008–09

Released 11 March 2010. This report sets out key themes and issues identified by ASIC’s audit inspection program for 2008–09. We expect this ...

INFO-192 - INFORMATION SHEET
Disputes about company addresses and company mail

This information sheet (INFO 192) explains what a company’s obligations are when maintaining an up-to-date record of its addresses on ASIC’s ...

RG-191 - REGULATORY GUIDE
RG 191 Superannuation: helping investors look at longer-term returns - ASIC's best practice guide (withdrawn)

This regulatory guide was withdrawn on 5 June 2009.

CP-191 - CONSULTATION PAPER
CP 191 Future of Financial Advice - Approval of codes of conduct for exemption from opt in requirement

Released 23 October 2012. Comments closed 4 December 2012. This consultation paper is for: financial advisers who enter into ongoing fee ...

REP-191 - REPORT
REP 191 Response to submissions on CP 115 Responsible lending

Released 26 February 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 115 Responsible ...

INFO-191 - INFORMATION SHEET
Unsolicited (or unexpected) offers to buy your shares

What are unsolicited offers? Unsolicited offers are also known as ‘unexpected’ or ‘uninvited’ offers. Put simply, an unsolicited offer is an offer ...

RG-190 - REGULATORY GUIDE
RG 190 Offering financial products in New Zealand and Australia under mutual recognition

Reissued 25 July 2017 This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective ...

CP-190 - CONSULTATION PAPER
CP 190 Small business lending complaints - Update to RG 139

Released 19 October 2012. Comments closed 10 December 2012. This consultation paper seeks comments from industry, consumer representatives, external ...

REP-190 - REPORT
REP 190 Market assessment report: EBS Service Company Limited

Released 17 February 2010. This report summarises ASIC's fourth annual assessment of EBS Service Company Limited (EBS) under s794C of the ...

INFO-190 - INFORMATION SHEET
Disputes about financial reporting by small proprietary companies

This information sheet (INFO 190) explains: who needs to lodge financial reports what you may do as a shareholder if you wish a small proprietary ...

RG-189 - REGULATORY GUIDE
RG 189 Disclosure relief for rights issues

Issued 17 March 2016 This is a guide for listed companies and managed investment schemes (and their advisers) about rights issues and the disclosure ...

CP-189 - CONSULTATION PAPER
CP 189 Future of Financial Advice - Conflicted remuneration

Released 28 September 2012. Comments closed 9 November 2012 This consultation paper sets out ASIC’s proposals for guidance about complying with the ...

REP-189 - REPORT
REP 189 Market assessment report: Yieldbroker Pty Limited

Released 17 February 2010. This report summarises ASIC’s sixth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

INFO-189 - INFORMATION SHEET
Using 'Limited', 'No Liability' or 'Proprietary' in a name

What is the difference between a company and a business? A company is a legal entity distinct from its owners and directors. A business is a way ...

RG-188 - REGULATORY GUIDE
RG 188 Disclosure in reconstructions

Issued 23 February 2007  This guide explains: how the prospectus provisions of the Corporations Act 2001 apply to reconstructions or capital ...

CP-188 - CONSULTATION PAPER
CP 188 Managed investments - Constitutions - Updates to RG 134

Released 18 September 2012. Comments closed 13 November 2012. This consultation paper sets out ASIC’s proposals for updating our guidance in ...

REP-188 - REPORT
REP 188 Market assessment report: CME Group Inc

Released 17 February 2010. Board of Trade of the City of Chicago Inc. ARBN 110 594 459 Chicago Mercantile Exchange Inc. ARBN 103 432 391 This ...

INFO-188 - INFORMATION SHEET
Disputes about your rights as a proprietary company shareholder

What are disputes about your rights as a company shareholder (member)? If you own shares in a proprietary company (i.e. one that has ‘P/L’ or ‘Pty ...

RG-187 - REGULATORY GUIDE
RG 187 Auditor rotation

Issued 12 February 2007 This guide gives guidance about how we will exercise the relief power in s342A of the Corporations Act 2001 to modify the ...

CP-187 - CONSULTATION PAPER
CP 187 Effective disclosure in an operating and financial review

Released 17 September 2012. Comments closed 23 November 2012. This consultation paper is for listed entities and their directors, and preparers of ...

REP-187 - REPORT
REP 187 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 17 February 2010. This report summarises ASIC’s third annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

INFO-187 - INFORMATION SHEET
Disputes about similar business names

Disputes sometimes arise between business owners over the use of similar business names. You may have concerns that similar business names are ...

RG-186 - REGULATORY GUIDE
RG 186 External administration: Liquidator registration (withdrawn)

This regulatory guide has been withdrawn (refer: 17-047MR). See now RG 258 Registered liquidators: Registration, disciplinary actions and insurance ...

CP-186 - CONSULTATION PAPER
CP 186 Clearing and settlement facilities - International principles and cross border policy update to RG 211

Released 11 September 2012. Comments close 19 October 2012. This consultation paper sets out our proposals to amend the existing Regulatory Guide ...

INFO-186 - INFORMATION SHEET
Disputes about access to company information

This information sheet (INFO 186) covers what you can do if you have a dispute about: access to minutes of meetings access to company books and ...

RG-185 - REGULATORY GUIDE
RG 185 Non-cash payment facilities

Issued 15 November 2005 This guide sets out our approach to regulating non-cash payment (NCP) facilities under the Corporations Act 2001 ...

CP-185 - CONSULTATION PAPER
CP 185 Litigation schemes and proof of debt schemes - Managing conflicts of interest

Released 17 August 2012. Comments closed 21 September 2012. This consultation paper sets out ASIC’s proposed approach on how funders and lawyers can ...

REP-185 - REPORT
REP 185 Review of term deposits

Released 1 March 2010. In May and June 2009, the Australian Securities and Investments Commission (ASIC) conducted a ‘health check’ of the term ...

INFO-185 - INFORMATION SHEET
Using ASIC's reverse mortgage calculator

This information sheet (INFO 185) sets out how credit licensees should use the reverse mortgage calculator on ASIC's MoneySmart website. It sets out: ...

RG-184 - REGULATORY GUIDE
RG 184 Superannuation: Delivery of product disclosure for investment strategies

Reissued 19 April 2016 Superseded Policy Statement 184, issued August 2006, reissued June 2007, and rebadged as a regulatory guide 5 July 2007 This ...

CP-184 - CONSULTATION PAPER
CP 184 Australian market structure - Draft market integrity rules and guidance on automated trading

Released 13 August 2012. Comments closed 14 September 2012. This paper seeks comments on draft market integrity rules and guidance on automated ...

REP-184 - REPORT
REP 184 Overview of decisions on relief applications: April to July 2009

Released 2 February 2010. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

INFO-184 - INFORMATION SHEET
Audit transparency reports

This information sheet (INFO 184) summarises the requirements for audit transparency reports (transparency reports) as set out in sections 332–332G ...

RG-183 - REGULATORY GUIDE
RG 183 Approval of financial services sector codes of conduct

Issued 1 March 2013 This guide is for: applicants seeking ASIC approval of a financial services sector code (code) under s1101A of the ...

CP-183 - CONSULTATION PAPER
CP 183 Giving information general advice and scaled advice

Released 9 August 2012. Comments closed 20 September 2012. This consultation paper sets out ASIC’s proposed guidance for Australian financial ...

REP-183 - REPORT
REP 183 Market assessment report: BGC Partners Australia Pty Limited

Released 21 January 2010. This report summarises ASIC’s third annual assessment of BGC Partners (Australia) Pty Limited (BGCA) under s794C of the ...

INFO-183 - INFORMATION SHEET
Directors and financial reporting

This information sheet (INFO 183) explains your financial reporting responsibilities as a director, including: your general duties your company’s ...

RG-182 - REGULATORY GUIDE
RG 182 Dollar disclosure

Issued 5 December 2017 This guide is for Australian financial services (AFS) licensees and authorised representatives (providing entities) and ...

CP-182 - CONSULTATION PAPER
CP 182 Future of Financial Advice - Best interests duty and related obligations - Update to RG 175

Released 9 August 2012. Comments closed 20 September 2012. This consultation paper sets out ASIC’s proposed guidance for persons who provide ...

REP-182 - REPORT
REP 182 Feedback from submissions to the Financial Ombudsman Service Limited's new Terms of Reference

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received on our targeted consultation of the ...

INFO-182 - INFORMATION SHEET
Super switching advice - complying with your obligations - INFO 182

View as PDF (75KB) This information sheet provides general information and compliance tips for financial advisers who provide super switching ...

RG-181 - REGULATORY GUIDE
RG 181 Licensing: Managing conflicts of interest

Issued 30 August 2004 This guide sets out: our general approach to compliance with the statutory obligation to manage conflicts of interest in ...

CP-181 - CONSULTATION PAPER
CP 181 Retail trading in Commonwealth Government Securities

Released 20 July 2012. Comments closed 31 August 2012. This consultation paper is for market operators and market participants that may trade in ...

REP-181 - REPORT
REP 181 Market assessment report: Reuters Transaction Services Limited

Released 14 December 2009. This report summarises ASIC’s fifth annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

INFO-181 - INFORMATION SHEET
Providing information and documents to private litigants

Enforcing the laws that govern corporate, securities and financial services is not exclusive to ASIC. Private rights and obligations are created by ...

RG-180 - REGULATORY GUIDE
RG 180 Auditor registration

Issued 30 June 2016 This is a guide for auditors and prospective auditors who wish to audit companies and other entities under the Corporations Act ...

CP-180 - CONSULTATION PAPER
CP 180 ASICs power to wind up abandoned companies

Released 12 July 2012. Comments closed 10 August 2012. This consultation paper sets out our proposals on how we will implement ASIC’s new power to ...

REP-180 - REPORT
REP 180 Response to submissions on CP 113 Training and competence for credit licensees

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 113 ...

INFO-180 - INFORMATION SHEET
ASIC’s approach to involvement in private court proceedings

This information sheet (INFO 180) provides general information on our approach to becoming involved in private court proceedings. It covers: our ...

INFO-179 - INFORMATION SHEET
Applying for a limited AFS licence

Information sheet (INFO 179) has been withdrawn. For information about limited AFS licences, please see Limited financial services.

RG-179 - REGULATORY GUIDE
RG 179 Managed discretionary accounts

Reissued 29 September 2016 This guide sets out how we will regulate managed discretionary account (MDA) services provided to retail clients under ...

CP-179 - CONSULTATION PAPER
CP 179 Australian market structure - Draft market integrity rules and guidance

Released 28 June 2012. Comments closed 6 August 2012. This paper seeks comments on draft market integrity rules and guidance following on from ...

REP-179 - REPORT
REP 179 Response to submissions on CP 111 Financial resources arrangements for credit licensees

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received to Consultation Paper 111 Compensation ...

RG-178 - REGULATORY GUIDE
RG 178 Foreign collective investment schemes

Issued 29 June 2012 This guide is for operators of foreign collective investment schemes (FCIS) that are authorised in other jurisdictions and wish ...

CP-178 - CONSULTATION PAPER
CP 178 Advertising credit products and credit services - Additional good practice guidance

Released 5 June 2012. Comments closed 6 August 2012. This consultation paper sets out ASIC’s proposals for additional good practice guidance to help ...

REP-178 - REPORT
REP 178 Response to submissions on CP 110 General conduct obligations of credit licensees

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 110 General ...

INFO-178 - INFORMATION SHEET
Dark liquidity and high-frequency trading (2012 review)

On 18 March 2013, ASIC released Report 331 Dark liquidity and high-frequency trading (REP 331) and Consultation Paper 202 Dark liquidity and ...

RG-177 - REGULATORY GUIDE
RG 177 Australian market licences: Overseas operators

Issued 30 October 2003 This regulatory guide was superseded on 4 May 2018 by revised RG 172.

CP-177 - CONSULTATION PAPER
CP 177 Electricity derivative market participants - Financial requirements

Released 4 May 2012. Comments closed 29 June 2012. This consultation paper sets out ASIC’s proposals on our proposed financial requirements for ...

REP-177 - REPORT
REP 177 Response to submissions on CP 109 Margin lending: Financial requirements

Released 2 December 2009. This report highlights the key issues that arose out of the submissions received to Consultation Paper 109 Margin ...

INFO-177 - INFORMATION SHEET
Quarterly cash equity market data release: Methodology and definitions

This information sheet (INFO 177) is designed to help with the interpretation of our quarterly cash equity market data. It provides definitions of ...

RG-176 - REGULATORY GUIDE
RG 176 Foreign financial services providers

Issued 10 March 2020 This guide is for foreign financial services providers (FFSPs) that wish to provide financial services to wholesale clients or ...

CP-176 - CONSULTATION PAPER
CP 176 Review of ASIC policy on platforms - Update to RG 148

Released 13 March 2012. Comments closed 20 April 2012. This paper sets out our proposals for revising our guidance on platforms in Regulatory ...

REP-176 - REPORT
REP 176 Response to submissions on CP 108 Margin lending: Training of financial advisers

Released 2 December 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 108 Margin ...

INFO-176 - INFORMATION SHEET
What to do if you are dissatisfied with a decision by the Australian Financial Complaints Authority

This information sheet (INFO 176) explains what you should do if you are dissatisfied with a decision made by the Australian Financial Complaints ...

RG-175 - REGULATORY GUIDE
RG 175 Licensing: Financial product advisers—Conduct and disclosure

Issued 15 June 2021 This guide is for persons who provide financial product advice to retail clients, and their professional advisers (such as ...

CP-175 - CONSULTATION PAPER
CP 175 Carbon markets - Training and financial requirements

Released 9 March 2012. Comments closed 10 April 2012. This consultation paper is for persons likely to require an Australian financial services ...

REP-175 - REPORT
REP 175 Market assessment report: NSX Ltd group

Released 6 November 2009. National Stock Exchange of Australia Limited, ACN 008 624 691 Bendigo Stock Exchange Limited, ACN 087 708 898 National ...

INFO-175 - INFORMATION SHEET
Misconduct within a company when an insolvency practitioner has been appointed

What is misconduct within a company? Misconduct within a company occurs when a director or company officer breaches their duties to the company. The ...

RG-174 - REGULATORY GUIDE
RG 174 Relief for externally administered companies and registered schemes being wound up

Issued 6 October 2021 This guide is for registered liquidators and other persons who are externally administering the affairs of companies and ...

CP-174 - CONSULTATION PAPER
CP 174 Hedge funds - Improving disclosure - Further consultation

Released 23 February 2012. Comments closed 19 April 2012. Draft RG included in CP. This consultation paper follows Consultation Paper 147 Hedge ...

REP-174 - REPORT
REP 174 Effects of the Australia–New Zealand mutual recognition regime for securities offerings

Released 23 October 2009. This report sets out the results of research that ASIC conducted into the effects on industry of the operation of the ...

INFO-174 - INFORMATION SHEET
Disputes with financial firms

This information sheet (INFO 174) explains what you should do if you have a complaint about a financial firm. The term 'financial firm' includes ...

RG-173 - REGULATORY GUIDE
RG 173 Disclosure for on-sale of securities and other financial products

Issued 17 March 2016 This guide is for listed companies and listed managed investment schemes. It outlines the circumstances in which we will ...

CP-173 - CONSULTATION PAPER
CP 173 Trustee companies - Transfer determinations bv ASIC

Released 24 January 2012. Comments close 6 March 2012. This paper sets out our proposals on administering the transfer determination provisions of ...

REP-173 - REPORT
REP 173 Debentures: Second review of disclosure to investors

Released 22 October 2009. This report outlines the findings of ASIC’s second review of the unlisted, unrated debenture industry. It includes an ...

INFO-173 - INFORMATION SHEET
Disputes about unpaid debts - small proprietary companies

What are disputes about unpaid debts? Failure to pay a debt is a contractual issue that can arise when there is a dispute between the parties over ...

RG-172 - REGULATORY GUIDE
RG 172 Financial markets: Domestic and overseas operators

Issued 4 May 2018 This guide provides guidance about the licensing regime and regulatory obligations for operators of financial markets. ...

CP-172 - CONSULTATION PAPER
CP 172 Review of EDR jurisdiction over complaints when members commence debt recovery legal proceedings

Released 2 December. Comments closed 27 February 2012. Draft RG included in CP. This consultation paper explains the background and scope of ...

REP-172 - REPORT
REP 172 Market assessment report: BGC Partners Australia Pty Limited

Released 15 October 2009. This report summarises ASIC’s second annual assessment of BGC Partners (Australia) Pty Limited (BGCA) under s794C of the ...

INFO-172 - INFORMATION SHEET
Cooperating with ASIC

It is ASIC policy to encourage and fully recognise cooperation. This information sheet (INFO 172) is for: people and entities who think they may ...

RG-171 - REGULATORY GUIDE
RG 171 Anomalies and issues in the takeover provisions (withdrawn)

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-171 - CONSULTATION PAPER
CP 171 Strengthening the regulation of research report providers including research houses

Released 16 November. Comments closed 3 February 2012. This paper sets out our proposals for updating our guidance on research reports in ...

REP-171 - REPORT
REP 171 Market assessment report: IMB Limited

Released 7 October 2009. This report summarises ASIC's 4th annual assessment of IMB Limited (IMBL) under s794C of the Corporations Act 2001 (Cth) ...

RG-170 - REGULATORY GUIDE
RG 170 Prospective financial information

Issued 1 April 2011 This guide is for issuers of financial products. It gives guidance on ASIC’s approach to the use of prospective financial ...

CP-170 - CONSULTATION PAPER
CP 170 Downstream acquisitions - Update to RG 71

Released 11 November. Comments closed 16 January 2012. This consultation paper sets out ASIC’s proposals for updating and revising our guidance on ...

REP-170 - REPORT
REP 170 Market assessment report: London Metal Exchange Limited

Released 7 October 2009. This report summarises ASIC's second annual assessment of The London Metal Exchange Limited (LME) under s794C of the ...

INFO-170 - INFORMATION SHEET
MySuper product dashboard requirements for superannuation trustees

This information sheet (INFO 170) gives guidance to superannuation trustees and other persons in relation to the product dashboard requirements in ...

RG-169 - REGULATORY GUIDE
RG 169 Disclosure: Discretionary powers

Reissued May 2005 Amended 25 January 2007 Previous version: Superseded Policy Statement 169 [SPS 169] This guide explains how we will approach ...

CP-169 - CONSULTATION PAPER
CP 169 Term deposits that are only breakable on 31 days notice - Proposals for relief

Released 4 November. Comments closed 23 December 2011. This consultation paper sets out ASIC’s proposals for relief to enable authorised ...

REP-169 - REPORT
REP 169 Market assessment report: Eurex Frankfurt

Released 30 September 2009. This report summarises ASIC’s fifth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

INFO-169 - INFORMATION SHEET
Notifying members about superannuation transfers: Accrued default amounts (MySuper transition)

Under amendments to the Superannuation Industry (Supervision) Act 1993 (SIS Act), registrable superannuation entity (RSE) licensees will need to be ...

RG-168 - REGULATORY GUIDE
RG 168 Disclosure: Product Disclosure Statements (and other disclosure obligations)

Issued 28 October 2011This is a guide for persons responsible for Product Disclosure Statements (PDSs) and other disclosure obligations (i.e. ...

CP-168 - CONSULTATION PAPER
CP 168 Australian equity market structure - Further proposals

Released 20 October. Comments closed 10 February 2012 (extended from 20 January). This consultation paper is for market operators and market ...

REP-168 - REPORT
REP 168 Market assessment report: Australian Securities Exchange group

Released 28 September 2009. ASX Limited, ACN 008 624 691 Australian Clearing House Pty Limited, ACN 001 314 503 ASX Settlement and Transfer ...

INFO-168 - INFORMATION SHEET
Giving and collectively charging for intra-fund advice

This information sheet (INFO 168) gives guidance to superannuation trustees and other persons on giving and collectively charging for certain types ...

RG-167 - REGULATORY GUIDE
RG 167 Licensing: Discretionary powers

Issued June 2019 This guide is for Australian financial services (AFS) licensees and financial services providers. It explains: our approach to ...

CP-167 - CONSULTATION PAPER
CP 167 Advertising financial products and advice services - Good practice guidance

Released 30 August 2011. Comments closed 25 October 2011. This consultation paper sets out ASIC’s proposals on good practice guidance to assist ...

REP-167 - REPORT
REP 167 Response to submissions on CP 106 Short selling to hedge risk from market making activities

Released 28 September 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 106 Short selling ...

RG-166 - REGULATORY GUIDE
RG 166 Licensing: Financial requirements

Issued 29 April 2021 This guide sets out the financial requirements you must meet as the holder of an Australian financial services (AFS) licence. ...

CP-166 - CONSULTATION PAPER
CP 166 Market integrity rules - non AFS licensee foreign participants and consequential amendments

Released 17 August 2011. Comments closed 9 September 2011. This consultation paper sets out our proposals for updating the ASIC Market Integrity ...

REP-166 - REPORT
REP 166 Market assessment report: Asia Pacific Exchange Limited

Released 8 September 2009. This report summarises ASIC’s fifth assessment of Asia Pacific Exchange Limited (APX) under s794C of the Corporations ...

INFO-166 - INFORMATION SHEET
Implementing the CPSS–IOSCO Principles for financial market infrastructures in Australia

In April 2012, the Committee on Payment and Settlement Systems (CPSS) and the International Organization of Securities Commissions (IOSCO) published ...

RG-165 - REGULATORY GUIDE
RG 165 Licensing: Internal and external dispute resolution

Reissued 30 July 2020 This guide explains what AFS licensees, unlicensed product issuers, unlicensed secondary sellers, credit licensees, credit ...

CP-165 - CONSULTATION PAPER
CP 165 Credit assistance for home loans - Competence and training requirements

Released 5 August 2011. Comments closed 16 September 2011. This paper sets out ASIC’s proposals for modifying the training requirements for credit ...

REP-165 - REPORT
REP 165 Market assessment report: Mercari Pty Limited

Released 8 September 2009. This report summarises ASIC’s fourth annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations ...

INFO-165 - INFORMATION SHEET
Claims of legal professional privilege

This information sheet (INFO 165) explains how we approach claims of legal professional privilege. Section 1: Legal professional privilege and ...

RG-164 - REGULATORY GUIDE
RG 164 Licensing: Organisational capacities (withdrawn)

This regulatory guide has been withdrawn. See now RG 104 Licensing Meeting the general obligations and RG 105 Licensing: Organisational competence

CP-164 - CONSULTATION PAPER
CP 164 Additional guidance on how to scale advice

Released 28 July 2011. Comments closed 8 September 2011. This paper sets out ASIC’s proposals to provide additional guidance on how to scale ...

REP-164 - REPORT
REP 164 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 31 July 2009. This report summarises ASIC’s second annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

INFO-163 - INFORMATION SHEET
Financial reporting compliance by administrators of insolvent public companies

This information sheet (INFO 163) was withdrawn on 1 September 2017. 

RG-163 - REGULATORY GUIDE
RG 163 Takeovers: Minimum bid price principle (s621) (withdrawn)

This regulatory guide has been withdrawn. See media release 16-423MR ASIC updates takeovers guidance on minimum bid price rule for information.

CP-163 - CONSULTATION PAPER
CP 163 Unlisted property schemes - Update to RG 46

Released 12 July 2011. Comments closed 6 September 2011. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

REP-163 - REPORT
REP 163 Market assessment report: Yieldbroker Pty Limited

Released 31 July 2009. This report summaries ASIC’s fifth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the Corporations ...

RG-162 - REGULATORY GUIDE
RG 162 Internet discussion sites

Issued 15 August 2000 Amended 4 July 2007 This guide explains: how we approach the regulation of internet discussion sites (IDS) that this ...

CP-162 - CONSULTATION PAPER
CP 162 Indirect self acquisition by investment funds - Further consultation - Employee share schemes

Released 16 June 2011. Comments closed 14 July 2011. This consultation paper seeks feedback on specific aspects of our proposed relief under s259C ...

REP-162 - REPORT
REP 162 Overview of decisions on relief applications: December 2008 to March 2009

Released 3 August 2009. This report outlines our decisions on relief applications during the period 1 December 2008 to 31 March 2009. It summarises ...

INFO-162 - INFORMATION SHEET
Disputes between officeholders and/or members of small proprietary companies

What are disputes about the running of companies? Disputes that arise in small proprietary companies are often about the running of the company. ...

RG-161 - REGULATORY GUIDE
RG 161 Share and interest sale facilities

Issued 6 March 2018 This guide is for companies and responsible entities, operators of their registries, and intermediaries involved in the ...

CP-161 - CONSULTATION PAPER
CP 161 Proposed ASIC market integrity rules for capital and related requirements - ASX ASX 24 and Chi X markets

Released 3 June 2011. Comments closed 30 June 2011. This consultation paper sets out our proposals for ASIC market integrity rules for capital and ...

REP-161 - REPORT
REP 161 Market assessment report: EBS Service Company Limited

Released 14 July 2009. This report summarises ASIC’s third assessment of EBS Service Company Limited (EBS) under s794C of the Corporations Act 2001 ...

INFO-161 - INFORMATION SHEET
Disputes about goods and non-financial services

What are disputes about goods and services? When you buy or sell goods or services, you enter into a contract with the provider of the goods or ...

RG-160 - REGULATORY GUIDE
RG 160 Time-sharing schemes

Issued 11 December 2020 This guide is for responsible entities, operators and promoters of time-sharing schemes, and those who provide credit ...

CP-160 - CONSULTATION PAPER
CP 160 Credit rating agencies - IOSCO Code Annual Compliance Report

Released 1 June 2011. Comments closed 13 July 2011. This consultation paper seeks the views of stakeholders, including credit rating agencies ...

REP-160 - REPORT
REP 160 Response to submissions on CP 105 Facilitating equity capital raising

Released 18 June 2009. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 105 ...

INFO-160 - INFORMATION SHEET
Disputes about employee entitlements

What are disputes about employee entitlements? Employee entitlements include wages or salary (your pay), annual leave, long service leave, sick ...

RG-159 - REGULATORY GUIDE
RG 159 Takeovers, compulsory acquisitions and substantial holdings (withdrawn)

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-159 - CONSULTATION PAPER
CP 159 Acquisitions approved by members - update to RG 74

Released 26 May 2011. Comments closed 1 August 2011. This consultation paper sets out ASIC’s proposals for updating our policy in Regulatory Guide ...

REP-159 - REPORT
REP 159 Report on submissions to CP 103 Review of share purchase plan threshold

Released 18 June 2009. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 103 Review ...

INFO-159 - INFORMATION SHEET
Your investments - frozen funds and hardship payments

For information on frozen funds, please visit Frozen funds and hardship withdrawals.

RG-158 - REGULATORY GUIDE
RG 158 Advertising and publicity for offers of securities

Issued 17 February 2000 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

CP-158 - CONSULTATION PAPER
CP 158 Redrafting the Electronic Funds Transfer Code of Conduct

Released 20 May 2011. Comments closed 17 June 2011. Draft ePayments Code included in CP. As part of ASIC’s review of the Electronic Funds Transfer ...

REP-158 - REPORT
REP 158 Survey of the OTC derivatives market in Australia

Released 22 May 2009 A joint report by the Australian Prudential Regulation Authority, ASIC and the Reserve Bank of Australia. In April 2008, the ...

INFO-157 - INFORMATION SHEET
Foreign financial services providers: Practical guidance on transitional arrangements

This information sheet (INFO 157) outlines the transitional arrangements that apply to foreign financial services providers (FFSPs) that are able to ...

RG-157 - REGULATORY GUIDE
RG 157 Financial reports for offer information statements

Issued 17 February 2000 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016

CP-157 - CONSULTATION PAPER
CP 157 Proposed ASIC market integrity rules - FEX market

Released 12 May 2011. Comments closed 9 June 2011. This consultation paper sets out ASIC’s proposals for new market integrity rules for the ...

REP-157 - REPORT
REP 157 Market assessment report: National Stock Exchange of Australia

Released 18 May 2009. This report summarises ASIC’s sixth assessment of National Stock Exchange of Australia Limited (NSEAL) under s794C of the ...

RG-156 - REGULATORY GUIDE
RG 156 Advertising of debentures and notes to retail investors

Issued February 2012This guide is for issuers of, and publishers of advertisements for, mortgage debentures, debentures, secured notes, and unsecured ...

CP-156 - CONSULTATION PAPER
CP 156 Retail OTC derivative issuers - Financial requirements

Released 9 May 2011. Comments closed 4 July 2011. This consultation paper sets out ASIC’s proposals on the financial requirements to apply to ...

REP-156 - REPORT
REP 156 Report on submissions to CP 102 Dispute resolution

Released 18 May 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 102 Dispute ...

INFO-156 - INFORMATION SHEET
Regulated emissions units: Applying for or varying an AFS licence

This information sheet is for anyone intending to apply for either a new Australian financial services (AFS) licence or a variation to an existing ...

RG-155 - REGULATORY GUIDE
RG 155 Debenture prospectuses

Issued 17 February 2000 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

CP-155 - CONSULTATION PAPER
CP 155 Prospectus disclosure - Improving disclosure for retail investors

Released 12 April 2011. Comments closed 7 June 2011. In this paper, we consult on proposed guidance on how to word and present prospectuses and ...

REP-155 - REPORT
REP 155 Debt collection practices in Australia

Released 14 May 2009 A joint report by the Australian Competition and Consumers Commission and ASIC. The Australian Competition and Consumer ...

INFO-155 - INFORMATION SHEET
Shorter PDSs -Complying with requirements for superannuation products and simple managed investment schemes

This information sheet (INFO 155) provides concise guidance for industry on the requirements of the shorter Product Disclosure Statement regime ...

RG-154 - REGULATORY GUIDE
RG 154 Certificate by a qualified accountant

Issued 17 February 2000 Amended 11 October 2001 This guide explains who we have approved as a ‘qualified accountant’ as defined in s9 for the ...

CP-154 - CONSULTATION PAPER
CP 154 Infrastructure entities - improving disclosure to retail investors - further consultation

Released 8 April 2011. Comments closed 6 May 2011. This consultation paper follows Consultation Paper 134 Infrastructure entities: Improving ...

REP-154 - REPORT
REP 154 Market assessment report: Asia Pacific Exchange

Released 8 May 2009. This report summarises the fourth assessment of Asia Pacific Exchange Limited (APX) by the Australian Securities and ...

CP-153 - CONSULTATION PAPER
CP 153 Licensing: Assessment and professional development framework for financial advisers

Released 6 April 2011. Comment closed 1 June 2011. This consultation paper seeks feedback on our proposed assessment and professional development ...

REP-153 - REPORT
REP 153 Market assessment report: Reuters Transaction Services Limited

Released 1 May 2009. This report summarises ASIC’s fourth annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

INFO-153 - INFORMATION SHEET
How ASIC deals with reports of misconduct

ASIC is Australia’s corporate, markets and financial services regulator. We contribute to Australia’s economic reputation and wellbeing by ensuring ...

RG-152 - REGULATORY GUIDE
RG 152 Lodgment of disclosure documents

Issued 17 February 2000 Updated 7 June 2000, 2 July 2003 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents ...

CP-152 - CONSULTATION PAPER
CP 152 ASICs conversion of ASX and SFE guidance - General operational obligations

Released 28 March 2011. Comments closed 13 May 2011. This consultation paper seeks feedback on ASIC’s proposed minor modifications, and limited ...

REP-152 - REPORT
REP 152 Helping home borrowers in financial hardship

Released 7 May 2009. This report examines the processes and procedures lenders and brokers have in place to deal with borrowers experiencing ...

INFO-152 - INFORMATION SHEET
Public comment on ASIC's regulatory activities

This information sheet (INFO 152) explains: when ASIC may comment publicly on our regulatory activities, including: our general approach to public ...

RG-151 - REGULATORY GUIDE
RG 151 Fundraising: Discretionary powers

Issued 17 February 2000 This guide explains: which of our regulatory guides, class orders and pro formas will apply to the fundraising and ...

CP-151 - CONSULTATION PAPER
CP 151 Debt securities - Modifying the naming provisions and advertising requirements

Released 25 March 2011. Comments closed 6 May 2011. This consultation paper sets out a proposal to include a new category of notes that currently ...

REP-151 - REPORT
REP 151 Market assessment report: Bendigo Stock Exchange Limited

Released 9 April 2009. This report summarises ASIC’s fifth and sixth assessment of Bendigo Stock Exchange Limited (BSX) under s794C of the ...

INFO-151 - INFORMATION SHEET
ASIC’s approach to enforcement

This information sheet (INFO 151) is for: people who report misconduct by individuals and entities we regulate people asked to assist in ASIC ...

RG-150 - REGULATORY GUIDE
RG 150 Electronic applications and dealer personalised applications (withdrawn)

This regulatory guide has been withdrawn. See now RG 107 Fundraising: Facilitating electronic offers of securities.

CP-150 - CONSULTATION PAPER
CP 150 Disclosing financial information other than in accordance with accounting standard

Released 24 March 2011. Comments closed 12 May 2011. This consultation paper is for directors, professional advisers and other interested parties. ...

REP-150 - REPORT
REP 150 Overview of decisions on relief applications: August to November 2008

Released 24 April 2009. This report outlines our decisions on relief applications during the period 1 August to 30 November 2008. It summarises ...

RG-149 - REGULATORY GUIDE
RG 149 Nominee and custody services

This regulatory guide has been withdrawn: see media release and RG 148

CP-149 - CONSULTATION PAPER
CP 149 Application for an Australian market licence - Financial and Energy Exchange Limited

Released 7 March 2011. Comments closed 18 April 2011. This consultation paper summarises details of the application by Financial and Energy ...

REP-149 - REPORT
REP 149 Market assessment report: Mercari Pty Limited

Released 20 February 2009. This report summarises ASIC’s third annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations ...

RG-148 - REGULATORY GUIDE
RG 148 Platforms that are managed investment schemes and nominee and custody services

Issued 21 September 2017 This guide is for: Ÿplatform operators (including operators of investor directed portfolio services (IDPSs) and ...

CP-148 - CONSULTATION PAPER
CP 148 Proposed market integrity rules - Chi X market

Released 4 March 2011. Comments closed 25 March 2011. This consultation paper sets out ASIC’s proposals for new market integrity rules ...

REP-148 - REPORT
REP 148 Market assessment report: IMB Limited

Released 20 February 2009. This report summarises ASIC's third assessment of IMB Limited (IMBL) under s794C and 823C of the Corporations Act 2001 ...

RG-147 - REGULATORY GUIDE
RG 147 Mutuality: Financial institutions

Issued 12 September 2000 Previous version: Interim Policy Statement 147 (issued 9 December 1999 and superseded 12 September 2000). See [SPS 147] in ...

CP-147 - CONSULTATION PAPER
CP 147 Hedge funds - Improving Disclosure for retail investors

Released 24 February 2011. Comments closed 21 April 2011. This consultation paper seeks your feedback on proposals to improve disclosure by hedge ...

REP-147 - REPORT
REP 147 Market assessment report: The London Metal Exchange Limited ARBN 120 748 021

Released 14 January 2009. This report summarises ASIC’s first annual assessment of The London Metal Exchange Limited (LME) under s794C of the ...

INFO-147 - INFORMATION SHEET
Credit rating agencies - lodging compliance report with ASIC

This information sheet (INFO 147) is for credit rating agencies and other interested parties. It explains what information must be included in the ...

RG-146 - REGULATORY GUIDE
RG 146 Licensing: Training of financial product advisers

Issued July 2012 This guide is for: advisers (i.e. Australian financial services (AFS) licensees and representatives who provide financial ...

CP-146 - CONSULTATION PAPER
CP 146 Over the counter contracts for difference - Improving disclosure for retail investors

Released 17 November 2010. Comments closed 21 December 2010. This consultation paper seeks your feedback on proposals to improve disclosure about ...

REP-146 - REPORT
REP 146 Market assessment report: Eurex Frankfurt AG ARBN 100 999 764

Released 14 January 2009. This report summarises ASIC’s fourth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

RG-145 - REGULATORY GUIDE
RG 145 Collateral benefits: Takeovers funding and pre-bid purchases (withdrawn)

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-145 - CONSULTATION PAPER
CP 145 Australian equity market structure - Proposals

Release 4 November 2010. Comments closed 21 January 2011. This consultation paper is in three parts: Part 1 outlines how we consider the ...

REP-145 - REPORT
REP 145 Market assessment report: Board of Trade of the City of Chicago Inc ARBN 110 594 459

Released 14 January 2009. This report summarises ASIC’s third annual assessment of Board of Trade of the City of Chicago Inc. (CBOT) under s794C of ...

INFO-145 - INFORMATION SHEET
ASIC’s compulsory information-gathering powers

This information sheet (INFO 145) provides general information on our compulsory information-gathering powers, including: an explanation of why we ...

RG-144 - REGULATORY GUIDE
RG 144 Mortgage investment schemes

Issued 2 March 2000 This guide sets out how we will regulate mortgage investment schemes. Note: From 27 July 2020, applications for relief ...

CP-144 - CONSULTATION PAPER
CP 144 Giving a PDS in telephone sales of general insurance products

Released 28 October 2010. Comments closed 9 December 2010. This consultation paper: sets out relief we are considering to change the time when a ...

REP-144 - REPORT
REP 144 Market assessment report: Chicago Mercantile Exchange Inc ARBN 103 432 391

Released 14 January 2009. This report summarises ASIC’s fifth annual assessment of Chicago Mercantile Exchange Inc. (CME) under s794C of the ...

RG-143 - REGULATORY GUIDE
RG 143 Takeovers provisions: Warrants (withdrawn)

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-143 - CONSULTATION PAPER
CP 143 Expert reports and independence of experts: Updates to RG 111 and RG 112

Released 18 October 2010. Comments closed 17 December 2010. This consultation paper sets out our proposed updates to our policies on the content ...

REP-143 - REPORT
REP 143 Review of credit rating agencies and research houses

Released 13 November 2008. A joint report by Treasury and ASIC. This is a joint Report prepared by Treasury and the Australian Securities and ...

INFO-143 - INFORMATION SHEET
Credit rating agencies -guidance on certain AFS licence conditions

This information sheet (INFO 143) is for credit rating agencies providing services in Australia. It gives guidance on the meaning of certain ...

RG-142 - REGULATORY GUIDE
RG 142 Schemes of arrangement and ASIC review

This regulatory guide has been withdrawn. See now RG 60 Schemes of arrangement.

CP-142 - CONSULTATION PAPER
CP 142 Related party transactions

Released 18 October 2010. Comments closed 17 December 2010. This consultation paper sets out our proposed guidance to promote better disclosure and ...

REP-142 - REPORT
REP 142 Overview of decisions on relief applications: April to July 2008

Released 31 October 2008. This report outlines our decisions on relief applications during the period 1 April 2008 to 31 July 2008. It summarises ...

INFO-142 - INFORMATION SHEET
Estimated frozen funds under management

For current information on frozen funds see INFO 249.  

INFO-141 - INFORMATION SHEET
Dealing and providing custodial or depository service as secondary service

A secondary service is a financial service provided to a retail client via an intermediary. If you are a secondary service provider, you may need to ...

RG-141 - REGULATORY GUIDE
RG 141 Offers of securities on the internet

Reissued 2 March 2000 Previous version: Superseded Policy Statement 141 [SPS 141] (issued 10 February 1999) This guide sets out when we intend to ...

CP-141 - CONSULTATION PAPER
CP 141 Mortgage schemes: Strengthening the disclosure benchmarks

Released 6 October 2010. Comments closed 26 November 2010. This consultation paper sets out our proposals for strengthening the disclosure ...

REP-141 - REPORT
REP 141 Market assessment report: Bendigo Stock Exchange Limited

Released 9 April 2009. This report summarises ASIC’s fourth annual assessment of Bendigo StockExchange Limited (BSX) under s794C of the Corporations ...

RG-140 - REGULATORY GUIDE
RG 140 Strata schemes and management rights schemes

Reissued 12 April 2017 This guide is for operators and promoters of properties that are, or are proposed to be, managed for investors. It explains: ...

CP-140 - CONSULTATION PAPER
CP 140 Responsible entities: Financial requirements

Released 30 September 2010. Comments closed 15 November 2010. This Consultation Paper sets out ASIC’s proposals on the financial requirements to ...

REP-140 - REPORT
REP 140 Report on submissions for CP 80 Group insurance arrangements

Released 30 September 2008. This report highlights the key issues that arose out of the submissions received on Consultation Paper 80 Group ...

INFO-140 - INFORMATION SHEET
Australian Consumer Law substantiation notices: Your rights

This information sheet (INFO 140) explains your options if you receive an Australian Consumer Law substantiation notice. It tells you: why and ...

RG-139 - REGULATORY GUIDE
RG 139 Approval and oversight of external dispute resolution schemes

Issued June 2013 This guide explains ASIC’s oversight of the two ASIC-approved external dispute resolution (EDR) schemes—the Financial Ombudsman ...

CP-139 - CONSULTATION PAPER
CP 139 Compensation and insurance arrangements for trustee companies providing traditional services

Released 23 September 2010. Comments closed 18 October 2010. This consultation paper sets out ASIC’s proposal for administering the compensation ...

REP-139 - REPORT
REP 139 Report on submissions for CP 100 Unlisted property schemes: Improving disclosure for retail investors

Released 2 September 2008. This report highlights the key issues that arose out of the submissions received on Consultation Paper 100 Unlisted ...

INFO-139 - INFORMATION SHEET
ASIC Act infringement notices: Your rights

This Information Sheet (INFO 139) is currently being revised.

INFO-138 - INFORMATION SHEET
Credit annual compliance certificate: Statement of personal information template

As part of your annual compliance certificate, you must include a statement of personal information for any person who has become a fit and proper ...

RG-138 - REGULATORY GUIDE
RG 138 Foreign passport funds

Issued 11 September 2018 This guide is for foreign passport fund operators seeking to enter, or operating in, Australia under the Asia Region Funds ...

CP-138 - CONSULTATION PAPER
CP 138 Dispute resolution requirements for trustee companies providing traditional services

Released 17 September 2010. Comments close 11 November 2010. This consultation paper sets out ASIC’s proposals on administering the new dispute ...

REP-138 - REPORT
REP 138 Report on submissions for CP 99 Mortgage schemes: Improving disclosure for retail investors

Released 2 September 2008. This report highlights the key issues that arose out of the submissions received to Consultation Paper 99 Mortgage ...

RG-137 - REGULATORY GUIDE
RG 137 Constitution requirements for schemes registered before 1 October 2013

Issued 31 July 2018 This guide is for responsible entities of registered managed investment schemes (registered schemes) that were registered ...

CP-137 - CONSULTATION PAPER
CP 137 Indirect self-acquisition by investment funds: Further consultation

Released 18 June 2010. Comments closed 30 July 2010. This consultation paper follows Consultation Paper 1 Indirect self acquisition by investment ...

INFO-137 - INFORMATION SHEET
Credit disclosure: Transitional arrangements - WITHDRAWN

This information sheet was withdrawn on 31 May 2017.   INFO 137 provided guidance on transitional arrangements that ended on 2 October 2011. ...

RG-136 - REGULATORY GUIDE
RG 136 Funds management: Discretionary powers

Issued 31 July 2018 This guide is for operators of registered managed investment schemes (registered schemes) and passport funds, their service ...

CP-136 - CONSULTATION PAPER
CP 136 Markets Disciplinary Panel

Released 26 May 2010. Comments closed 21 June 2010. This consultation paper seeks feedback on a draft regulatory guide on the Markets Disciplinary ...

REP-136 - REPORT
REP 136 Market assessment report: Golden Circle Limited ACN 054 355 618

Released 18 August 2008. This report summarises the fourth assessment of Golden Circle Limited (GCL) by the Australian Securities and Investments ...

INFO-136 - INFORMATION SHEET
Complying with your trust account obligations as a credit licensee

This information sheet (INFO 136) is for holders of an Australian credit licence (credit licensees). It explains how to meet your trust account ...

INFO-135 - INFORMATION SHEET
Annual compliance certificates for credit licensees

This information sheet is for credit licensees. It provides guidance on how to comply with your obligation to lodge an annual compliance certificate. ...

RG-135 - REGULATORY GUIDE
RG 135 Managed investments: Transitional issues

Reissued 11 September 2000 Previous version: Superseded Policy Statement 135 [SPS 135] (issued 3 August 1998) In order to gain a full ...

CP-135 - CONSULTATION PAPER
CP 135 Mortgage early exit fees: Unconscionable fees and unfair contract terms

Released 27 June 2010. Comments closed 9 August 2010. This consultation paper sets out our proposals for guidance on factors we will consider in ...

REP-135 - REPORT
REP 135 Market assessment report: ASX, SFE, ACH, ASTC, SFECC and Austraclear

Released 14 August 2008. ASX Limited, ACN 008 624 691 Australian Clearing House Pty Limited, ACN 001 314 503 ASX Settlement and Transfer ...

INFO-134 - INFORMATION SHEET
Complying with your obligations if both credit licensee and AFS licensee

This information sheet (INFO 134) explains how to comply with your obligations if you are both: a credit licensee under the National Consumer Credit ...

RG-134 - REGULATORY GUIDE
RG 134 Funds management: Constitutions

Issued 31 July 2018 This guide is for: responsible entities of registered managed investment schemes (registered schemes); Australian passport ...

CP-134 - CONSULTATION PAPER
CP 134 Infrastructure entities: Improving disclosure for retail investors

Released 19 April 2010. Comments closed 30 June 2010. This consultation paper sets out benchmarks for improved disclosure by listed and unlisted ...

REP-134 - REPORT
REP 134 Enhancing capital flows into and out of Australia

Released 31 July 2008. This report gives an update on the work the Australian Securities and Investments Commission (ASIC) has done, and proposes to ...

RG-133 - REGULATORY GUIDE
RG 133 Funds management and custodial services: Holding assets

Issued 31 July 2018 This guide is for: Ÿresponsible entities of registered managed investment schemes (registered schemes); Ÿlicensed providers ...

CP-133 - CONSULTATION PAPER
CP 133 Agribusiness managed investment schemes: Improving disclosure for retail investors

Released 8 April 2010. Comments closed 31 May 2010. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

REP-133 - REPORT
REP 133 Overview of decisions on relief applications: December 2007 to March 2008

Released 18 July 2008. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

INFO-133 - INFORMATION SHEET
Shorter PDS regime -Superannuation managed investment schemes and margin lending

This information sheet (INFO 133) was withdrawn on 2 November 2021. The relevant information from INFO 133 has been incorporated into Information ...

INFO-132 - INFORMATION SHEET
Applying for a credit licence: Details of professional indemnity insurance

As a credit licensee, you will need to have arrangements in place for compensating your clients for any loss they might suffer if you breach your ...

RG-132 - REGULATORY GUIDE
RG 132 Funds management: Compliance and oversight

Issued 31 July 2018 This guide is for: responsible entities of registered managed investment schemes (registered schemes); and ŸAustralian ...

CP-132 - CONSULTATION PAPER
CP 132 Trustee companies: Financial requirements and conduct obligations

Released 15 March 2010. Comments closed 7 April 2010. This consultation paper sets out ASIC’s proposals on the financial resource requirements to ...

REP-132 - REPORT
REP 132 External Administrators: Schedule B Statistics 1 July 2004 to 30 June 2007

Released 26 June 2008. This is our first report presenting statistical findings from Schedule B reports lodged electronically by liquidators, ...

RG-131 - REGULATORY GUIDE
RG 131 Funds management: Establishing and registering a fund

Issued 31 July 2018 This guide is for responsible entities of registered managed investment schemes (registered schemes) and Australian passport ...

CP-131 - CONSULTATION PAPER
CP 131 Proposed ASIC Market Integrity Rules: ASX and SFE Markets

Released 26 February 2010. Comments closed 26 March 2010. This consultation paper sets out ASIC’s proposals for new Market Integrity Rules for ASX ...

REP-131 - REPORT
REP 131 Report on submissions on CP 96 Insurance requirements for registered liquidators

Released 26 June 2008. This report highlights the key issues that arose out of the submissions received on Consultation Paper 96 Insurance ...

INFO-131 - INFORMATION SHEET
Obligations of companies limited by guarantee

This information sheet (INFO 131) is for companies limited by guarantee and explains: financial reporting obligations obligations relating to ...

RG-130 - REGULATORY GUIDE
RG 130 Managed investments: Licensing (withdrawn)

This regulatory guide has been withdrawn.

REP-130 - REPORT
REP 130 Audit inspection program public report for 2006–07

Released 12 June 2008. This public report sets out key themes and issues identified by ASIC’s audit inspection program for 2006–07. We expect this ...

INFO-129 - INFORMATION SHEET
National credit laws and book up: What you need to know

Book up is a common practice in many remote and regional communities of Australia. When you offer book up, or run up a tab, you allow your customers ...

RG-129 - REGULATORY GUIDE
RG 129 Business introduction or matching services

Issued 4 February 1998 In this guide sets out our policy on regulating business introduction services or matching services which involve the offer ...

CP-129 - CONSULTATION PAPER
CP 129 Non-standard margin lending facilities: Improving disclosure for retail clients

Released 21 December 2009. Comments closed 26 February 2010. This consultation paper sets out ASIC’s proposals on the disclosure requirements we ...

REP-129 - REPORT
REP 129 Review of s439A reports for voluntary administrations

Released 13 June 2008. Voluntary administrators are required to prepare a report under s439A of the Corporations Act 2001 (Cth) (Corporations Act) ...

RG-128 - REGULATORY GUIDE
RG 128 Collective action by investors

Issued 14 January 1998 Updated 23 June 2015 This guide is for investors who wish to cooperate with each other in relation to their investment in a ...

CP-128 - CONSULTATION PAPER
CP 128 Handling confidential information

Released 21 December 2009. Comments closed 21 February 2010. This consultation paper contains our proposals for best practice relating to the ...

REP-128 - REPORT
REP 128 Report on submissions to CP 91 Non traditional rights issues

Released 15 May 2008. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 91 ...

INFO-128 - INFORMATION SHEET
Credit infringement notices: Your rights

This information sheet (INFO 128) explains your options if you receive a credit infringement notice. It tells you: why we issue infringement ...

RG-127 - REGULATORY GUIDE
RG 127 Additional investments in managed investment schemes (withdrawn)

This regulatory guide was withdrawn on 13 December 2018. The application form relief in RG 127 has been superseded by: the requirements in s1016A ...

CP-127 - CONSULTATION PAPER
CP 127 Schemes of arrangement: Statements under section 411(17)(b)

Released 11 December 2009. Comments closed 29 March 2010. This consultation paper seeks feedback on whether or not ASIC should give a statement ...

REP-127 - REPORT
REP 127 Debentures: Improving disclosure for retail investors

Released 23 April 2008. This report: presents the findings of our first review into disclosures made by each of the unlisted, unrated debenture ...

INFO-126 - INFORMATION SHEET
Credit representatives

This information sheet (INFO 126) is for credit licensees and credit representatives. Credit representatives are authorised to engage in specified ...

RG-126 - REGULATORY GUIDE
RG 126 Compensation and insurance arrangements for AFS licensees

Issued 27 July 2020 This guide is for Australian financial services (AFS) licensees and their representatives, advisers and insurers. It sets out ...

CP-126 - CONSULTATION PAPER
CP 126 Facilitating debt raising

Released 7 December 2009. Comments closed 19 February 2010. This consultation paper: sets out ASIC’s proposals for relief to facilitate offers ...

REP-126 - REPORT
REP 126 Understanding investors in the unlisted unrated debenture (UUD) market

Released 23 April 2008. This report summarises the findings of research conducted for ASIC about Australian investors in unlisted unrated ...

RG-125 - REGULATORY GUIDE
RG 125 Share and interest purchase plans

Issued 30 August 2019 This guide is for: ASX-listed companies, their advisers and investors involved in offers of shares under share purchase ...

CP-125 - CONSULTATION PAPER
CP 125 Compensation requirements for credit licensees: Further consultation

Released 23 November 2009. Comments closed 18 December 2009. This consultation paper follows Consultation Paper 111 Compensation and financial ...

REP-125 - REPORT
REP 125 Review of mortgage entry and exit fees

Released 7 April 2008. At the request of the Federal Treasurer, The Hon Wayne Swan MP, ASIC has conducted an industry review of entry and exit fees ...

CP-124 - CONSULTATION PAPER
CP 124 Directors duty to prevent insolvent trading: Guide for directors

Released 24 November 2009. Comment closed 22 January 2010. This consultation paper seeks feedback from directors, professional advisors and other ...

REP-124 - REPORT
REP 124 Overview of decisions on relief applications: September to November 2007

Released 1 April 2008. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

CP-123 - CONSULTATION PAPER
CP 123 Debentures: Strengthening the disclosure benchmarks

Released 22 October 2009. Comments closed 4 December 2009. This consultation paper sets out our proposals for strengthening the disclosure ...

REP-123 - REPORT
REP 123 A report on costs of financial services

Released 26 March 2008 (This report was prepared for ASIC by Chant Link & Associates and was released on 26 March 2008. See ASIC Information ...

CP-122 - CONSULTATION PAPER
CP 122 Superannuation forecasts: ASIC relief and guidance for super funds

Released 21 October 2009. Comments closed 11 December 2009. This consultation paper seeks feedback from super funds, consumers and other ...

RG-121 - REGULATORY GUIDE
RG 121 Doing financial services business in Australia

Issued 30 July 2013 This is a guide for people or companies from overseas who propose to conduct a financial services business in Australia. It ...

CP-121 - CONSULTATION PAPER
CP 121 Facilitating online financial services disclosures

Released 13 October 2009. Comments closed 11 December 2009. This consultation paper: highlights the key issues that arose out of the ...

REP-121 - REPORT
REP 121 Australian investors a glance

Released 24 April 2008. This report summarises the findings of research conducted for ASIC by Roy Morgan Research about Australian investors, ...

RG-120 - REGULATORY GUIDE
RG 120 Commentary on compliance plans: Property schemes (withdrawn)

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

CP-120 - CONSULTATION PAPER
CP 120 Operators of clearing and settlement facilities

Released 1 October 2009. Comments closed 13 November 2009. This consultation paper seeks the views of existing and potential operators of ...

REP-120 - REPORT
REP 120 Market assessment report: BGC Partners Australia Pty Limited

Released 14 March 2008. This report summarises ASIC’s first annual assessment of BGC Partners Australia Pty Limited (BGCA) under s794C of the ...

RG-119 - REGULATORY GUIDE
RG 119 Commentary on compliance plans: Pooled mortgage schemes (withdrawn)

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

CP-119 - CONSULTATION PAPER
CP 119 Regulation of financial markets: Exemptions from Part 7.2 of the Corporations Act

Released February 2006. Comment closed 28 February 2006. This consultation paper sets out a proposal to extend the circumstances in which ASIC may ...

REP-119 - REPORT
REP 119 Protecting wealth in the family home

Released 13 March 2008. An examination of refinancing in response to mortgage stress This report draws on a qualitative examination of a small ...

RG-118 - REGULATORY GUIDE
RG 118 Commentary on compliance plans: Contributory mortgage schemes (withdrawn)

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

CP-118 - CONSULTATION PAPER
CP 118 Responsible handling of rumours

Released 15 September 2009. Comments closed 9 November 2009. This consultation paper proposes some basic principles for the handling of rumours, ...

REP-118 - REPORT
REP 118 Market assessment report: National Stock Exchange of Australia Limited

Released 6 March 2008. This report summarises ASIC’s fifth assessment of National Stock Exchange of Australia Limited (NSEAL) under s794C of the ...

RG-117 - REGULATORY GUIDE
RG 117 Commentary on compliance plans: Financial asset schemes (withdrawn)

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

CP-117 - CONSULTATION PAPER
CP 117 Consent to quote credit ratings in disclosure documents and PDSs

Released 10 September 2009. Comments closed 22 October 2009. We are considering whether to withdraw class order relief that allows issuers to cite ...

REP-117 - REPORT
REP 117 Market assessment report: Golden Circle Limited

Released 6 March 2008. This report summarises the third assessment of Golden Circle Limited (GCL) by the Australian Securities and Investments ...

RG-116 - REGULATORY GUIDE
RG 116 Commentary on compliance plans: Agricultural industry schemes (withdrawn)

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

CP-116 - CONSULTATION PAPER
CP 116 Exempt professional financial markets

Released 7 September 2009. Comments closed 19 October 2009. Revised 19 September 2013. This consultation paper sets out when we propose to advise ...

REP-116 - REPORT
REP 116 Market assessment report: Australian Pacific Exchange Limited

Released 6 March 2008. This report summarises the third assessment of Australia Pacific Exchange Limited (APX) by the Australian Securities and ...

RG-115 - REGULATORY GUIDE
RG 115 Audit relief for proprietary companies

Issued 19 June 2020 This guide is for certain proprietary companies and their auditors. It explains: the relief that we give to proprietary ...

CP-115 - CONSULTATION PAPER
CP 115 Responsible lending

Released 2 September 2009. Comments closed 28 October 2009. This paper sets out ASIC's proposals for guidance about meeting the responsible ...

REP-115 - REPORT
REP 115 Market assessment report: Bloomberg Tradebook Australia Pty Ltd

Released 6 March 2008. This report summarises ASIC’s first annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

CP-114 - CONSULTATION PAPER
CP 114 Client money relating to dealing in OTC derivatives

Released 7 August 2009. Comments closed 18 September 2009. This consultation paper seeks feedback from financial services licensees and their ...

REP-114 - REPORT
REP 114 Market assessment report: Yieldbroker Pty Limited

Released 6 March 2008. This report summaries ASIC’s fourth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

INFO-113 - INFORMATION SHEET
Applying for a credit licence: Summary business description

This information sheet (INFO 113) contains a template you can use on an optional basis for preparing the summary business description required to be ...

CP-113 - CONSULTATION PAPER
CP 113 Competence and training for credit licensees

Released 29 July 2009. Comments closed 26 August 2009. This paper sets out ASIC's proposals about the training and competence obligations of ...

REP-113 - REPORT
REP 113 Report on submissions for CP 94 Debenture advertising

Released 19 December 2007. This report highlights the key issues that arose out of the submissions received on Consultation Paper 94 Debenture ...

INFO-112 - INFORMATION SHEET
Guidance for financial counsellors

This information sheet (INFO 112) explains the effect of the credit licensing regime on businesses and services that provide assistance to consumers ...

RG-112 - REGULATORY GUIDE
RG 112 Independence of experts

Issued 30 March 2011This is a guide for any person who commissions, issues or uses an expert report. It explains how ASIC interprets the requirement ...

CP-112 - CONSULTATION PAPER
CP 112 Dispute resolution requirements for consumer credit and margin lending

Released 27 July 2009. Comments closed 11 September 2009. This consultation paper sets out ASIC’s proposals on administering the new dispute ...

REP-112 - REPORT
REP 112 Report on submissions to CP 87 Compensation and insurance arrangements for AFS licensees

Released 27 November 2007. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 87 ...

RG-111 - REGULATORY GUIDE
RG 111 Content of expert reports

Issued 22 October 2020 This is a guide for any person who commissions, issues or uses an expert report. It provides guidance on the content of an ...

CP-111 - CONSULTATION PAPER
CP 111 Compensation and financial resources arrangements for credit licensees

Released 15 July 2009. Comments closed 12 August 2009. This consultation paper sets out ASIC’s proposals to administer the new compensation and ...

REP-111 - REPORT
REP 111 Overview of decisions on relief applications: June to August 2007

Released 23 November 2007. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

INFO-111 - INFORMATION SHEET
Information for investors in frozen funds

For current information on frozen funds see INFO 249.

INFO-110 - INFORMATION SHEET
Lenders with carried over instruments

Requirements of lenders with carried over instruments (COI lenders) under the credit regime. Key obligations of unlicensed carried over instrument ...

RG-110 - REGULATORY GUIDE
RG 110 Share buy-backs

Issued 5 July 2007This is a guide for companies, their advisers and investors involved in or affected by share buy-backs. This guide explains what a ...

CP-110 - CONSULTATION PAPER
CP 110 General conduct obligations of credit licensees

Released 15 July 2009. Comments closed 12 August 2009. This paper sets out ASIC's proposals for guidance about meeting the general conduct ...

REP-110 - REPORT
REP 110 Report on submissions for CP 88 Reviewing and updating RG 146 Training of financial product advisers

Released 22 November 2007. This report highlights the key issues that arose out of the submissions received on Consultation Paper 88 Reviewing and ...

RG-109 - REGULATORY GUIDE
RG 109 Assetless Administration Fund: Funding criteria and guidelines (withdrawn)

Important noticeChanges to how registered liquidators lodge forms with ASIC Effective 30 March 2020, the following documents must be submitted ...

CP-109 - CONSULTATION PAPER
CP 109 Margin lending: Financial requirements

Released 13 July 2009. Comment closed 10 August 2009. This consultation paper sets out ASIC’s proposals on the financial resource requirements we ...

REP-109 - REPORT
REP 109 'All we have is this house' Report on consumer experiences with reverse mortgages

Consumer experiences with reverse mortgages Released 21 November 2007. Reverse mortgages are relatively new and complex products. This report ...

INFO-109 - INFORMATION SHEET
Credit licensee offences: Prohibited dealings and unlawful authorisations

This information sheet (INFO 109) provides general information on the operation of some offences under the National Consumer Credit Protection Act ...

INFO-108 - INFORMATION SHEET
Fees for Australian credit licences and annual compliance certificates

This information sheet (INFO 108) is for Australian credit licensees. It provides information about the fees you will pay under the ASIC industry ...

RG-108 - REGULATORY GUIDE
RG 108 No-action letters

Issued 18 December 2009 This guide is for persons (and their professional advisers) who want to ask the Australian Securities and Investments ...

CP-108 - CONSULTATION PAPER
CP 108 Margin lending: Training of financial advisers

Released 13 July 2009. Comments closed 10 August 2009. This paper sets out ASIC’s proposals on training requirements for financial advisers who ...

REP-108 - REPORT
REP 108 Report on submissions for CP 89 Unlisted unrated debentures

Released 31 October 2007. This report highlights the key issues that arose out of the submissions received to Consultation Paper 89 Unlisted, ...

RG-107 - REGULATORY GUIDE
RG 107 Fundraising: Facilitating electronic offers of securities

Issued 27 July 2020 This is a guide to facilitate the use of email and the internet to make offers of securities under Ch 6D of the Corporations ...

CP-107 - CONSULTATION PAPER
CP 107 Securities lending and substantial holding disclosure

Released 3 July 2009. Comments closed 7 August 2009. In this consultation paper, we are seeking to improve disclosure of substantial holdings that ...

REP-107 - REPORT
REP 107 Compensation arrangements for financial services licensees: Research into the professional indemnity insurance market

Released December 2006. Prepared by Melzan Pty Ltd for release with CP 87 Compensation and insurance arrangements for AFS licensees.  The ...

INFO-107 - INFORMATION SHEET
Guidelines for managing allegations of misconduct against ASIC officers

This information sheet (INFO 107) describes the guidelines that are in place to ensure that complaints about the conduct of ASIC staff members in ...

INFO-106 - INFORMATION SHEET
Trustee companies -Minimum standards for trustee companies holding estate assets

This information sheet is being revised. This is Information Sheet 106 (INFO 106). Information sheets provide concise guidance on a specific ...

RG-106 - REGULATORY GUIDE
RG 106 Controller duties and bank accounts

Issued 6 May 1996 This guide sets out our views on s421. This section requires controllers of property to open and maintain a bank account for ...

CP-106 - CONSULTATION PAPER
CP 106 Short selling to hedge risk from market making activities

Released 30 April 2009. Comments closed 8 June 2009. This consultation paper sets out ASIC’s proposals to grant relief from the short selling ...

REP-106 - REPORT
REP 106 Economic assessment of competition for market services

Released July 2007 Prepared by CRA International for release with CP 86 Competition for market services: Trading in listed securities and related ...

RG-105 - REGULATORY GUIDE
RG 105 AFS licensing: Organisational competence

Issued 1 April 2020 This is a guide for Australian financial services (AFS) licensees and AFS licence applicants. This guide describes what we look ...

CP-105 - CONSULTATION PAPER
CP 105 Facilitating equity capital raising

Released 24 February 2009. Comments closed 30 March 2009. This consultation paper: sets out ASIC’s proposal to facilitate equity capital raisings ...

REP-105 - REPORT
REP 105 Market assessment report: Mercari Pty Limited

Released October 2007. This report summarises ASIC's second annual assessment of Mercari Pty Limited under s794C of the Corporations Act 2001 ...

INFO-105 - INFORMATION SHEET
FAQs: Dealing with consumers and credit

This information sheet (INFO 105) covers frequently asked questions on consumers and credit under the National Consumer Credit Protection Act 2009 ...

RG-104 - REGULATORY GUIDE
RG 104 AFS licensing: Meeting the general obligations

Issued 1 April 2020 This is a guide for AFS licensees and licence applicants. This guide describes what we look for when we assess compliance with ...

CP-104 - CONSULTATION PAPER
CP 104 Internet discussion sites

Released 2 March 2009. Comments closed 27 April 2009. We are reviewing Regulatory Guide 162 Internet discussion sites (RG 162), which is our ...

REP-104 - REPORT
REP 104 Market assessment report: EBS Service Company Limited

Released October 2007. This report summarises ASIC’s second assessment of EBS Service Company Limited under s794C of the Corporations Act 2001 ...

INFO-104 - INFORMATION SHEET
FAQs: Complying with your credit obligations

This information sheet (INFO 104) answers frequently asked questions about complying with your credit obligations under the National Consumer Credit ...

INFO-103 - INFORMATION SHEET
FAQs: Getting a credit licence

This information sheet (INFO 103) answers frequently asked questions about getting an Australian credit licence (credit licence) under the National ...

RG-103 - REGULATORY GUIDE
RG 103 Confidentiality and release of information

Issued 27 November 1995 Updated 26 February 1996 In this guide ASIC indicates the practices it will adopt in relation to the disclosure of ...

CP-103 - CONSULTATION PAPER
CP 103 Review of share purchase plan threshold

Released 18 December 2008. Comments closed 13 February 2009. This consultation paper: sets out ASIC's proposal to increase the monetary limit for ...

REP-103 - REPORT
REP 103 Market assessment report: Board of Trade of the City of Chicago Inc

Released 6 March 2008. This report summarises the second annual assessment of Board of Trade of the City of Chicago Inc. (CBOT) by the Australian ...

RG-102 - REGULATORY GUIDE
RG 102 Tender offers by vendor shareholders

Issued 2 October 1995 This guide indicates the circumstances in which we will exercise our discretionary powers in order to facilitate the sale of ...

CP-102 - CONSULTATION PAPER
CP 102 Dispute resolution: Review of RG 139 and RG 165

Released 8 September 2008. Comments closed 7 November 2008. This consultation paper sets out ASIC’s proposals for updating our policy on the dispute ...

REP-102 - REPORT
REP 102 Market assessment report: Chicago Mercantile Exchange Inc

Released 6 March 2008. This report summarises the fourth annual assessment of Chicago Mercantile Exchange Inc. (CME) by the Australian Securities ...

INFO-101 - INFORMATION SHEET
FAQs: Does the credit legislation apply?

This information sheet (INFO 101) answers frequently asked questions about the application of the National Consumer Credit Protection Act 2009 ...

RG-101 - REGULATORY GUIDE
RG 101 Managed investment scheme buy-backs

Issued 15 December 2016 This guide is for responsible entities of registered managed investment schemes, including schemes that form part of a ...

CP-101 - CONSULTATION PAPER
CP 101 Superannuation forecasts

Released 28 July 2008. Comment closed 31 October 2008. This consultation paper sets out issues and options in relation to the provision of ...

REP-101 - REPORT
REP 101 Market assessment report: Reuters Transaction Services Limited

Released 6 March 2008. This report highlights the key issues that arose out of the submissionsreceived on Consultation Paper 94 Debenture ...

INFO-100 - INFORMATION SHEET
Margin lending -getting or varying AFS licence

This information sheet (INFO 100) is for issuers and advisers of margin lending facilities, who intend to apply for either a new Australian financial ...

RG-100 - REGULATORY GUIDE
RG 100 Court enforceable undertakings

Issued 22 November 2021 A court enforceable undertaking is an administrative remedy for contraventions of legislation administered by ASIC. It ...

CP-100 - CONSULTATION PAPER
CP 100 Unlisted property schemes: Improving disclosure for retail investors

Released 8 July 2008. Comments closed 5 August 2008. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

REP-100 - REPORT
REP 100 Market assessment report: IMBL Limited

Released September 2007. This report summarises ASIC's second assessment of IMB Limited under s794C and s823C of the Corporations Act 2001. ...

RG-099 - REGULATORY GUIDE
RG 99 Quotation of securities offered by prospectus (s1031)

Issued 21 August 1995 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

CP-099 - CONSULTATION PAPER
CP 99 Mortgage schemes: Improving disclosure for retail investors

Released 8 July 2008. Comments closed 5 August 2008. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

REP-099 - REPORT
REP 99 Market assessment report: SFE, SFECC and Austraclear (September 2007)

Released November 2007. Sydney Futures Exchange Limited (ACN 000 943 377) SFE Clearing Corporation Pty Ltd (ACN 050 615 864) Austraclear Limited ...

INFO-099 - INFORMATION SHEET
Disclosure of credit ratings in Australia

This information sheet (INFO 99) is for credit rating agencies (CRAs) and issuers of financial products to retail and wholesale clients. It ...

RG-098 - REGULATORY GUIDE
RG 98 ASIC’s powers to suspend, cancel and vary AFS licences and make banning orders

Issued 20 September 2018 This guide is for Australian financial services (AFS) licensees, their representatives, and advisers. It describes the ...

CP-098 - CONSULTATION PAPER
CP 98 Cross border recognition: Facilitating access to overseas markets and financial services

Facilitating access to overseas markets and financial services Released 16 June 2008. Comments closed 25 July 2008. This is a joint consultation ...

REP-098 - REPORT
REP 98 Market assessment report: Golden Circle Limited

Released October 2007. This report summarises ASIC's second assessment of Golden Circle Limited under s794C of the Corporations Act 2001 ...

INFO-098 - INFORMATION SHEET
Short selling reporting: Short position reporting

View table of short position reports This information sheet (INFO 98) helps short sellers and systems developers to comply with and develop systems ...

INFO-097 - INFORMATION SHEET
Guidance for small credit businesses

From 1 July 2010, people who engage in credit activities in Australia can apply to the Australian Securities and Investments Commission (ASIC) for an ...

RG-097 - REGULATORY GUIDE
RG 97 Disclosing fees and costs in PDSs and periodic statements

RG 97 provides guidance on how fees and costs should be disclosed in Product Disclosure Statements (PDSs) and periodic statements. The information in ...

CP-097 - CONSULTATION PAPER
CP 97 Simple superannuation advice

Released 30 May 2008. Comments closed 15 July 2008. Consultation paper issued by Financial Services Working Group: The Treasury, Australian ...

REP-097 - REPORT
REP 97 Overview of decisions on relief applications: January to May 2007

Released September 2007. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

RG-096 - REGULATORY GUIDE
RG 96 Debt collection guideline: For collectors and creditors

Issued 13 April 2021 This guideline has been jointly produced by the Australian Competition and Consumer Commission (ACCC) and the Australian ...

CP-096 - CONSULTATION PAPER
CP 96 Insurance requirements for registered liquidators

Released 29 February 2008. Commentd closed 14 April 2008. This consultation paper: sets out how ASIC proposes to administer the new insurance ...

REP-096 - REPORT
REP 96 Market assessment report: Eurex Frankfurt AG

Released June 2007. This report summarises ASIC’s third assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Eurex ...

RG-095 - REGULATORY GUIDE
RG 95 Disclosing entity provisions relief

Issued 24 July 1995 Updated 17 June 1996, 3 March 1997 This guide sets out our policy on applications made under s111AT(1) for exemptions from the ...

CP-095 - CONSULTATION PAPER
CP 95 Competition for market services: Response to CP 86 and further consultation

Released 21 November 2007. Comments closed 29 January 2008. This paper summarises the responses to Consultation Paper 86 Competition for market ...

REP-095 - REPORT
REP 95 Overview of decisions on relief applications: October to December 2006

Released May 2007. The report covers the period beginning 1 October 2006 and ending 31 December 2006. During this period we decided 582 ...

INFO-095 - INFORMATION SHEET
Requirements for disclosure and reporting of short sales

ASIC Market Advice - 7 April 2011 The purpose of this document is to provide information to assist brokers and their clients meet the short sale ...

RG-094 - REGULATORY GUIDE
RG 94 Unit pricing: Guide to good practice

Issued 1 August 2008 Both APRA and ASIC have regulatory jurisdiction for aspects of the practice of life companies, superannuation providers and fund ...

CP-094 - CONSULTATION PAPER
CP 94 Debenture advertising

Released 31 October 2007. Comment closed 30 November 2007. This consultation paper seeks feedback from issuers of debentures and publishers of ...

REP-094 - REPORT
REP 94 Market assessment report: ASX Group

Released May 2007. ASX Limited ACN 008 624 691 Australian Clearing House Pty Limited ACN 001 314 503 ASX Settlement and Transfer Corporation Pty ...

INFO-094 - INFORMATION SHEET
Notification requirements for Product Disclosure Statements

If you are the responsible person for a Product Disclosure Statement (PDS) that is not lodged with ASIC under s1015B of the Corporations Act 2001, ...

RG-093 - REGULATORY GUIDE
RG 93 Reimbursing liquidation costs

Issued 13 February 1995 This guide sets out our views on reimbursing applicants’ costs under s466(3) for proceedings in a winding up. Download RG ...

CP-093 - CONSULTATION PAPER
CP 93 Facilitating online financial services disclosures

Released 2 April 2008. Comments closed 28 May 2008. This consultation paper: sets out ASIC’s proposed approach to using email and the internet to ...

REP-093 - REPORT
REP 93 Market assessment report: Chicago Mercantile Exchange Inc

Released March 2007. This report summarises ASIC’s third assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Chicago ...

INFO-093 - INFORMATION SHEET
Practical guidance for operators of foreign collective investment schemes

This information sheet (INFO 93) is for operators of foreign collective investment schemes (FCIS). It explains what you, as an FCIS operator, must do ...

RG-092 - REGULATORY GUIDE
RG 92 Procedural fairness to third parties

Issued 6 February 1995 Updated 1 July 1996 This guide sets out how we will afford procedural fairness when exercising discretionary powers under ...

CP-092 - CONSULTATION PAPER
CP 92 Streamlining breach reporting

Released 4 October 2007. Comments closed 31 October 2007. Joint publication with APRA. The Financial Sector Legislation Amendment (Simplifying ...

REP-092 - REPORT
REP 92 Market assessment report: Board of Trade of the City of Chicago Inc

Released March 2007. This report summarises ASIC’s first assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Board of ...

INFO-092 - INFORMATION SHEET
Probity request procedures for overseas regulators

This information sheet (INFO 92) gives an overview of the procedures overseas regulators must go through in order to request a probity check from ...

INFO-091 - INFORMATION SHEET
Who can be an authorised representative of an AFS licensee

An Australian financial services (AFS) licensee may appoint ‘authorised representatives’ to provide specified financial services on its behalf. These ...

RG-091 - REGULATORY GUIDE
RG 91 Horse breeding schemes and horse racing syndicates

Issued 31 August 2016 This guide sets out our approach to regulating horse breeding schemes and horse racing syndicates under the Corporations Act ...

CP-091 - CONSULTATION PAPER
CP 91 Non-traditional rights issues

Released 28 September 2007. Comments closes 7 November 2007. Recent amendments to the Corporations Act 2001 (Cth) (Corporations Act) provide an ...

REP-091 - REPORT
REP 91 Market assessment report: ICAP Europe Limited

Released February 2007. This report summarises ASIC’s third assessment under section 794C of the Corporations Act 2001 (the Act) of compliance by ...

RG-090 - REGULATORY GUIDE
RG 90 Example Statement of Advice: Scaled advice for a new client

Issued 7 December 2017 This guide is for Australian financial services (AFS) licensees, authorised representatives and advisers who give personal ...

CP-090 - CONSULTATION PAPER
CP 90 Review of the Electronic Funds Transfer Code of Conduct 2007/08: ASIC proposals

Released 3 October 2008. Comments closed 5 December 2008. This paper sets out proposals for changes to the Electronic Funds Transfer (EFT) Code of ...

REP-090 - REPORT
REP 90 Market assessment report: Australian Pacific Exchange Limited

Released March 2007. This report summarises ASIC’s second assessment of compliance by Australia Pacific Exchange Ltd ACN 080 399 220 (APX) with its ...

INFO-90 - INFORMATION SHEET
Notifying members about superannuation transfers without consent

The Corporations Act 2001 (Corporations Act) provides a framework for notifying members of superannuation funds about ‘material changes’ or ...

CP-089 - CONSULTATION PAPER
CP 89 Unlisted unrated debentures: Improving disclosure for retail investors

Released 23 August 2007. Comments closed 1 October 2007. This consultation paper sets out our proposals for change in the unlisted, unrated ...

REP-089 - REPORT
REP 89 Making home insurance better

Released January 2007. In September 2005, we released a report on home building underinsurance Getting home insurance right (the 2005 report). The ...

INFO-089 - INFORMATION SHEET
Communicating with employees about choice of superannuation fund: What you can and cannot do

This information sheet (INFO 89) is for employers. It is also relevant for superannuation trustees, payroll providers, superannuation clearing houses ...

INFO-088 - INFORMATION SHEET
Notifying ASIC of the appointment of an AFS authorised representative

If you are an Australian financial services licensee (AFS licensee) or an authoriser appointing authorised representatives to provide financial ...

RG-088 - REGULATORY GUIDE
RG 88 Trustee and nominee companies (withdrawn)

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-088 - CONSULTATION PAPER
CP 88 Reviewing and updating RG 146: Training of financial product advisers

Released 31 July 2007. Comment closed 25 September 2007. This consultation paper: sets out how ASIC proposes to amend Regulatory Guide 146 ...

REP-088 - REPORT
REP 88 Overview of decisions on relief applications: July to September 2006

Released January 2007. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

RG-087 - REGULATORY GUIDE
RG 87 Charitable schemes and school enrolment deposits

Reissued 28 September 2016 This guide sets out our policy on relief from the fundraising, managed investment, debenture and licensing provisions of ...

CP-087 - CONSULTATION PAPER
CP 87 Compensation and insurance arrangements for AFS licensees

Released 23 July 2007. Comments closed 14 September 2007. This consultation paper: sets out how ASIC proposes to administer the new ...

REP-087 - REPORT
REP 87 Market assessment report: Yieldbroker Pty Limited November 2006

Released November 2006. This report summaries ASIC’s third assessment of Yieldbroker Pty Limited’s (Yieldbroker) compliance by with its obligations ...

INFO-086 - INFORMATION SHEET
How do RSE and AFS licensing application processes work together

This information sheet (INFO 86) provides guidance for superannuation trustees who need an Australian financial services (AFS) licence to: provide a ...

RG-086 - REGULATORY GUIDE
RG 86 Tracing beneficial ownership

Reissued 26 June 2007 Previous version: See Superseded Policy Statement 86 [SPS 86] in the ASIC Digest This guide explains how we will exercise ...

CP-086 - CONSULTATION PAPER
CP 86 Competition for market services: Trading in listed securities and related data

Released 23 July 2007. Comments closed 17 August 2007. This consultation paper: deals with policy questions raised by applications for new ...

REP-086 - REPORT
REP 86 Market assessment report: IMB Ltd

Released November 2006. IMB Ltd (IMBL) was issued its licences on 8 July 2005. This report summarises ASIC’s first assessment of compliance by IMBL ...

RG-085 - REGULATORY GUIDE
RG 85 Reporting requirements for non-reporting entities

Issued 1 July 2005 This guide provides guidance on application of the reporting entity test and the reporting obligations for non-reporting ...

CP-085 - CONSULTATION PAPER
CP 85 Share and unit sale facilities

Released 4 July 2007. Comments closed 6 August 2007. This consultation paper sets out our proposals to offer conditional relief from provisions of ...

REP-085 - REPORT
REP 85 Market assessment report: Reuters Transaction Services Limited

Released November 2006. This report summarises ASIC’s second assessment under section 794C of the Corporations Act 2001 (Act) of compliance by ...

INFO-085 - INFORMATION SHEET
Approving fees: A guide for creditors

This information sheet (INFO 85) provides creditors with information about the external administrator’s fees in a liquidation of a company, voluntary ...

RG-084 - REGULATORY GUIDE
RG 84 Super switching advice: Questions and answers (withdrawn)

This regulatory guide was withdrawn on 20 August 2013. See now INFO 182 Super switching advice: Complying with your obligations.

CP-084 - CONSULTATION PAPER
CP 84 Managed investment schemes: Withdrawal rights and scheme liquidity

Released 3 July 2007. Comments closed 21 August 2007. This consultation paper sets out our proposed guidance on: what disclosures responsible ...

REP-084 - REPORT
REP 84 Monitoring superannuation fees and costs: October 2005 to June 2006

Released November 2006. This report is the first in a series of at least five annual reports monitoring trends in superannuation fees and costs. ...

INFO-084 - INFORMATION SHEET
Independence of external administrators: A guide for creditors

This information sheet (INFO 84) provides general information for unsecured creditors in a liquidation, voluntary administration or deed of company ...

RG-083 - REGULATORY GUIDE
RG 83 Reinstatement of companies

Issued 26 March 2018 This guide is for company officeholders, third parties and liquidators who want a company to be reinstated. It explains: ...

CP-083 - CONSULTATION PAPER
CP 83 Review of ASIC policy on investor directed portfolio services

Released 20 June 2007. Comments closed 4 September 2007. We are reviewing Policy Statement 148 Investor directed portfolio services [PS 148] and ...

REP-083 - REPORT
REP 83 Small and mid-cap miners study

Released October 2006. This report details some recent work ASIC has undertaken analysing the disclosure patterns and share price performance of ...

RG-082 - REGULATORY GUIDE
RG 82 External administration: Deeds of company arrangement involving a creditors’ trust

Issued 17 December 2018 This guide is for registered liquidators appointed under Pt 5.3A of the Corporations Act as a voluntary administrator or ...

CP-082 - CONSULTATION PAPER
CP 82 Wholesale equity venture capital schemes: Trustee licensing

Released 30 May 2007. Comments closed 15 August 2007. This consultation paper sets out our proposals for class order relief for trustees of ...

REP-082 - REPORT
REP 82 Market assessment report: Stock Exchange of Newcastle Limited

Released September 2006. This report summarises ASIC’s fourth assessment of compliance by Stock Exchange of Newcastle Limited (SENL) with its ...

INFO-082 - INFORMATION SHEET
Apply for relief

Important notice: Applications for relief are now submitted to ASIC through the ASIC Regulatory Portal. For more information see How to apply for ...

INFO-081 - INFORMATION SHEET
Registering not-for-profit or charitable organisations

There are different ways you can register as a charitable or not-for-profit organisation. Before you register, you should consider what structure ...

RG-081 - REGULATORY GUIDE
RG 81 Destruction of books

Reissued 3 May 2000 Previous version: Superseded Policy Statement 81 This guide sets policy on applications by liquidators under s 542. It deals ...

CP-081 - CONSULTATION PAPER
CP 81 Management rights schemes

Released 7 May 2007. Comments closed 9 July 2007.\\ This consultation paper sets out our proposals to amend Policy Statement 140 Serviced strata ...

REP-081 - REPORT
REP 81 Overview of decisions on relief applications: April to June 2006

Released September 2006. The purpose of the report is to improve the level of transparency and the quality of information available about decisions ...

RG-080 - REGULATORY GUIDE
RG 80 Managed investment schemes: Interests not for money

Issued 8 December 2016 This guide sets out our approach to the relief that we provide from the managed investment, Australian financial services ...

CP-080 - CONSULTATION PAPER
CP 80 Group insurance arrangements

Released 7 May 2007. Comments closed 25 June 2007. The provisions of Ch 7 and Ch 5C of the Corporations Act 2001 (Cth) are designed to protect ...

REP-080 - REPORT
REP 80 Market assessment report: Mercari Pty Limited

Released June 2006. This report summarises ASIC’s first assessment of compliance by Mercari Pty Limited (Mercari) with its obligations under ...

INFO-080 - INFORMATION SHEET
How to interpret ASIC insolvency statistics

ASIC publishes reports and statistics on a variety of insolvency-related topics. This information sheet (INFO 80) covers the following types of ...

INFO-079 - INFORMATION SHEET
Your company and the law

New ID requirement for directors Company directors need to verify their identity as part of a new director identification number (director ID) ...

RG-079 - REGULATORY GUIDE
RG 79 Research report providers: Improving the quality of investment research

Issued 10 December 2012This guide is for Australian financial services licensees who are research report providers. It is directed towards providers ...

CP-079 - CONSULTATION PAPER
CP 79 Disclosure relief for foreign scrip takeovers

Released 28 March 2007. Comment closed 4 May 2007. This paper sets out our proposals to give relief from the requirement to prepare a prospectus ...

REP-079 - REPORT
REP 79 Market assessment report: Australian Clearing House Pty Limited, ASX Settlement and Transfer Corporation Pty Limited

Released August 2006. This report summarises ASIC’s fourth assessment of the compliance by Australian Clearing House Pty Limited (ACH) and the ...

INFO-078 - INFORMATION SHEET
Winding up a solvent company

This information sheet (INFO 78) covers: Steps to winding up a solvent company Court involvement Winding up a company may be an option if it ...

RG-078 - REGULATORY GUIDE
RG 78 Breach reporting by AFS licensees and credit licensees

Issued 7 September 2021 This guide is for Australian financial services (AFS) licensees and Australian credit licensees (credit licensees). It gives ...

CP-078 - CONSULTATION PAPER
CP 78 Reviewing the EFT Code

Released 12 January 2007. Comments closed 30 April 2007. This consultation paper initiates the public phase of a review of the Electronic Funds ...

REP-078 - REPORT
REP 78 Audit inspection program

Released August 2006. Second report to the Financial Reporting Council on the results of ASIC's on-site inspections of audit firms. This report ...

RG-077 - REGULATORY GUIDE
RG 77 Property trusts and property syndicates

Issued 24 January 1994 Updated 6 December 1994, 10 July 1995, 16 October 1995 This guide sets out policy on relief from the law for property ...

CP-077 - CONSULTATION PAPER
CP 77 On market buy-backs by ASX-listed schemes

Released 19 December 2006. Comment closed 12 March 2007. This consultation paper sets out our proposed policy on on-market buy-backs of interests ...

REP-077 - REPORT
REP 77 Overview of decisions on relief applications: January to March 2006

Released July 2006. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

INFO-076 - INFORMATION SHEET
What books and records should my company keep?

All companies must keep some form of written financial records that: record and explain their financial position and performance, and enable ...

RG-076 - REGULATORY GUIDE
RG 76 Related party transactions

Issued 30 March 2011 This guide sets out our guidance to promote better disclosure and governance for related party transactions. It is designed for ...

CP-076 - CONSULTATION PAPER
CP 76 Updating Policy Statement 164: Meeting the general obligations

Released 23 November 2006. Comments closed 28 February 2007. We are updating Policy Statement 164 Licensing: Organisational capacities [PS 164] ...

REP-076 - REPORT
REP 76 Market assessment report: SFE Clearing Corporation Pty Limited and Austraclear Limited

Released June 2006. This report summarises ASIC’s fourth assessment of SFE Clearing Corporation Pty Ltd's (SFECC) and the second assessment of ...

RG-075 - REGULATORY GUIDE
RG 75 Independent expert reports to shareholders (withdrawn)

This regulatory guide has been withdrawn. See now RG 111 Content of expert reports and RG 112 Independence of experts.

CP-075 - CONSULTATION PAPER
CP 75 Updating Policy Statement 164: Organisational competence

Released 23 November 2006. Comments closed 28 February 2007. We are updating Policy Statement 164 Licensing: Organisational capacities [PS 164] ...

REP-075 - REPORT
REP 75 Market assessment report: Sydney Futures Exchange Limited

Released June 2006. This report summarises ASIC’s fourth assessment of compliance by Sydney Futures Exchange Limited (SFE) with its obligations ...

INFO-075 - INFORMATION SHEET
Voluntary administration: A guide for employees

This information sheet (INFO 75) provides information for employees of companies in voluntary administration. It covers: who is an employee? ...

RG-074 - REGULATORY GUIDE
RG 74 Acquisitions approved by members

Issued 21 December 2011 This guide is for entities subject to Ch 6 of the Corporations Act—that is, companies with more than 50 members, listed ...

CP-074 - CONSULTATION PAPER
CP 74 Review of Policy Statement 160: Time-sharing schemes

Released 25 May 2006. Comments closed 17 July 2006. This consultation paper sets out our proposed refinement of Summary Policy Statement 160 ...

REP-074 - REPORT
REP 74 Market assessment report: Eurex Frankfurt AG

Released June 2006. This report summarises ASIC’s second assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Eurex ...

INFO-074 - INFORMATION SHEET
Voluntary administration: A guide for creditors

This information sheet (INFO 74) provides information for unsecured creditors of companies in voluntary administration. It covers: who is a ...

INFO-073 - INFORMATION SHEET
Importance of sole company directors or shareholders having a will

Why do directors need a will? Difficulties can arise when an ordinary person dies without leaving a will. Their estate cannot be quickly wrapped up ...

RG-073 - REGULATORY GUIDE
RG 73 Continuous disclosure obligations: Infringement notices

Reissued 31 October 2017 This guide is for anyone who is subject to continuous disclosure obligations, including listed and unlisted disclosing ...

CP-073 - CONSULTATION PAPER
CP 73 Managing conflicts of interest in the financial services industry

Released 19 April 2006. Comment closed 9 June 2006. This discussion paper uses hypothetical case studies illustrating real or perceived conflicts ...

REP-073 - REPORT
REP 73 Market assessment report: EBS Service Company Limited

Released May 2006. This report summaries Australian Securities & Investments Commission’s (ASIC) assessment under section 794C of EBS’s ...

RG-072 - REGULATORY GUIDE
RG 72 Foreign securities disclosure relief

Issued 2 September 2015 This guide is for foreign entities and their advisers involved in the offer of foreign securities to Australian investors. ...

CP-072 - CONSULTATION PAPER
CP 72 Auditor rotation policy

Released 12 April 2006. Comment closed 26 May 2006. This policy proposal paper seeks your views on how we should use the relief power in s342A of ...

REP-072 - REPORT
REP 72 Market assessment report: Chicago Mercantile Exchange Inc

Released May 2006. This report summarises ASIC’s second assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Chicago ...

INFO-071 - INFORMATION SHEET
Company name availability

There are a few things you should consider when choosing a company name. You cannot register a name that is identical to an existing name and some ...

RG-071 - REGULATORY GUIDE
RG 71 Downstream acquisitions

Issued 24 August 2016This guide is for companies, listed managed investment schemes, investors and their advisers who are involved in, or affected ...

CP-071 - CONSULTATION PAPER
CP 71 Repetition of the general advice warning

Released 31 August 2005. Comments closed 26 September 2005. This consultation paper sets out our proposals for conditional relief from s949A of ...

REP-071 - REPORT
REP 71 Overview of decisions on relief applications from financial service providers: September to December 2005

Released April 2006. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

INFO-070 - INFORMATION SHEET
Shares

If a company with share capital issues shares, they must keep a record of all the shares they've issued. This record is sometimes called 'the ...

RG-070 - REGULATORY GUIDE
RG 70 Prospectuses for cash box and investment companies

Issued 2 June 1999 This guide explains how ASIC will apply s1022 where the issuer of a prospectus has not formulated or has only partially ...

CP-070 - CONSULTATION PAPER
CP 70 Online calculators

Released 23 August 2005. Comments closed 23 September 2005. This consultation paper sets out our proposals for guidance on and relief from the ...

REP-070 - REPORT
REP 70 Market assessment report: ICAP Europe Limited

Released February 2006. This report summarises ASIC’s assessment under s794C of IEL’s compliance with its obligations to supervise its market under ...

INFO-069 - INFORMATION SHEET
Share buy backs

See also: Shares Reduction in share capital Share buy-back provisions were simplified in 1995 to make share buy-backs more accessible ...

RG-069 - REGULATORY GUIDE
RG 69 Debentures and notes: Improving disclosure for retail investors

Issued 8 February 2012 This guide is for issuers and others involved with the issue of mortgage debentures, debentures, secured notes, and unsecured ...

CP-069 - CONSULTATION PAPER
CP 69 Disclosing pro forma financial information

Released 29 July 2005. Comments closed 30 September 2005. This draft guide sets out our proposed guidelines for the use of pro forma financial ...

REP-069 - REPORT
REP 69 Shadow shopping survey on superannuation advice

Released April 2006 The purpose of the survey was to assess whether the advice given to consumers after the introduction of Super Choice complied ...

RG-068 - REGULATORY GUIDE
RG 68 New financial reporting and procedural requirements

Issued 1 November 1998 Updated 24 December 1998, 1 April 1999, 6 October 1999, 20 July 2004, 22 December 2005, 26 March 2007 The purpose of this ...

CP-068 - CONSULTATION PAPER
CP 68 Authorisation of general insurance arrangers

Released 4 August 2005. Comments closed 2 September 2005. This consultation paper sets out our proposals for relief from requirements under the ...

REP-068 - REPORT
REP 68 Market assessment report: Australian Stock Exchange Limited

Released March 2006. This report summarises ASIC’s fourth assessment of compliance by Australian Stock Exchange Limited (ASX) with its obligations ...

RG-067 - REGULATORY GUIDE
RG 67 Real estate companies

Issued 23 November 2015 This guide sets out our policy on relief from certain provisions of the Corporations Act 2001 for the sale and valuation of ...

CP-067 - CONSULTATION PAPER
CP 67 Disclosure in reconstructions

Released 6 July 2005. Comments closed 19 August 2005. This policy proposal paper sets out our proposals on whether a prospectus is needed in a ...

REP-067 - REPORT
REP 67 Market assessment report: SFE Clearing Corporation Pty Limited and Austraclear Limited

Released January 2006. This report summarises ASIC’s assessment under s823C of the Corporations Act 2001 (Act) of the compliance by SFECC and ...

INFO-066 - INFORMATION SHEET
Restoration of the names of registrable Australian bodies and foreign companies to the register

This guide is concerned with applications for restoration of names of registrable Australian bodies and foreign companies to the ASIC register and ...

RG-066 - REGULATORY GUIDE
RG 66 Transaction-specific disclosure for PDSs

Released 17 March 2016 This guide is for issuers of Product Disclosure Statements (PDSs) and their advisers. It sets out our policy on the use of ...

CP-066 - CONSULTATION PAPER
CP 66 Debt collection guideline: For collectors creditors and debtors (second draft)

Released 1 July 2005. Comments closed 29 July 2005. Joint publication with ACCC: see also CP 61. The Australian Competition and Consumer ...

REP-066 - REPORT
REP 66 Monitoring advertising in superannuation

Released January 2006. From March 2005, the Australian Securities and Investments Commission (ASIC) monitored mainstream media advertising and ...

INFO-065 - INFORMATION SHEET
Resignation of an auditor of a public company

This information sheet (INFO 65) is for auditors of public companies who wish to resign from office under the Corporations Act 2001 (Corporations ...

RG-065 - REGULATORY GUIDE
RG 65 Section 1013DA disclosure guidelines

Issued 30 November 2011 This guide is for product issuers. It sets out ASIC’s guidelines on how product issuers can meet their obligations under ...

CP-065 - CONSULTATION PAPER
CP 65 Licensing: Credit rating agencies

Released 9 June 2005. Comments closed 22 July 2005. This consultation paper sets out our proposal for an exemption for credit rating agencies from ...

REP-065 - REPORT
REP 65 Overview of decisions on relief applications from financial service providers: May to August 2005

Released December 2005. The purpose of the report is to improve the level of transparency and the quality of information available about decisions ...

INFO-064 - INFORMATION SHEET
Resignation and removal of auditors of registered scheme financial report or a compliance plan

This information sheet (INFO 64) is for auditors of registered scheme financial reports or compliance plans who wish to resign, or responsible ...

RG-064 - REGULATORY GUIDE
RG 64 Failure to lodge documents

Issued 21 January 2000 Previous version: Superseded Policy Statement 64 [SPS 64] This guide explains: what we will do if a company fails to lodge ...

CP-064 - CONSULTATION PAPER
CP 64 Approving a purpose for accessing the register of members of a mutual entity

Released 9 June 2005. Comments closed 22 July 2005. This consultation paper sets out ASIC’s proposed policy for approving a purpose for which ...

REP-064 - REPORT
REP 64 Market assessment report: Reuters Transaction Services Limited

Released December 2005. This report is an assessment of compliance by Reuters Transaction Services Limited (RTSL) with its obligations under ...

INFO-063 - INFORMATION SHEET
Replaceable rules outlined

Replaceable rules are in the Corporations Act and are a basic guide for managing your company. If you're a proprietary company, they can be an easy ...

RG-063 - REGULATORY GUIDE
RG 63 Access to debenture and prescribed interest registers

Issued 30 August 1993 This guide sets our policy in exercising the discretionary powers under s1084 concerning the public’s right to inspect and copy ...

CP-063 - CONSULTATION PAPER
CP 63 Market stabilisation

Released 11 March 2005. Comments closed 22 April 2005. This policy proposal paper outlines our proposed policy on market   stabilisation. This ...

REP-063 - REPORT
REP 63 Compliance with the EFT Code of Conduct: April 2003 to March 2004

Released December 2005. This report gives the results of the annual monitoring of the Electronic Funds Transfer Code of Conduct (EFT Code). The ...

INFO-062 - INFORMATION SHEET
Removal of an auditor of a company

This information sheet (INFO 62) sets out the essential seven steps to be followed when removing an auditor of a company under the Corporations Act ...

RG-062 - REGULATORY GUIDE
RG 62 Better disclosure for investors

Issued 1 August 2000 These guidance principles suggest practical steps that a listed company can take to ensure that it meets both the letter and the ...

CP-062 - CONSULTATION PAPER
CP 62 Better experts' reports

Released 24 February 2005. Comments closed 27 April 2005. We are reviewing our policy on experts. Experts’ reports are commissioned by a person ...

REP-062 - REPORT
REP 62 Market assessment report: Sydney Futures Exchange Limited

Released December 2005. This report summarises ASIC’s third assessment of compliance by Sydney Futures Exchange Limited (SFE) with its obligations ...

INFO-061 - INFORMATION SHEET
Steps to register a company

New ID requirement for directors Company directors need to verify their identity as part of a new director identification number (director ID) ...

RG-061 - REGULATORY GUIDE
RG 61 Underwriting: Application of exemptions (withdrawn)

This regulatory guide has been withdrawn (refer:13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

CP-061 - CONSULTATION PAPER
CP 61 Debt collection guideline: For collectors creditors and debtors (first draft)

Released 14 February 2005. Comments closed 31 March 2005 Joint publication with ACCC:see also CP 66. The ACCC and ASIC are committed to providing ...

REP-061 - REPORT
REP 61 Market assessment report: Australian Pacific Exchange Limited

Released November 2005. This report is ASIC’s first assessment of APX and describes our assessment, conclusion and key recommendations for ...

INFO-060 - INFORMATION SHEET
Registrable Australian Bodies

Some organisations, like associations, can only conduct business in their 'home' state or territory. By becoming a registered Australian body, these ...

RG-060 - REGULATORY GUIDE
RG 60 Schemes of arrangement

Issued September 2020 This is a guide for companies and their advisers involved in, or affected by, schemes of arrangement between a company and its ...

CP-060 - CONSULTATION PAPER
CP 60 Disclosure documents and PDS: Consent to quote [PN 55]

Released 27 January 2005. Comment closed 11 March 2005. This draft practice note sets out: how we administer the requirement for an issuer to ...

REP-060 - REPORT
REP 60 Market assessment report: Yieldbroker Pty Limited

Released November 2005. In this assessment we focused on the adequacy Yieldbroker’s supervisory arrangements and its responses to the ...

RG-059 - REGULATORY GUIDE
RG 59 Announcing and withdrawing takeover bids (s653 and s746)

Issued 21 August 1995 This guide states our views on the policy, interpretation and operation of s63 and 746. Note: From 27 July 2020, ...

CP-059 - CONSULTATION PAPER
CP 59 Non-cash payment facilities

Released 22 December 2004. Comments closed 25 February 2005. The financial services reform amendments to the Corporations Act 2001 (Corporations ...

REP-059 - REPORT
REP 59 Equity release products report

Released November 2005. In the last year Australia has seen the rapid development of a range of ‘equity release’ products, where consumers can ...

RG-058 - REGULATORY GUIDE
RG 58 Reporting by registered foreign companies and Australian companies with foreign shareholders

Issued 19 June 2020This guide is for registered foreign companies and companies in which a foreign company has an interest. It describes the relief ...

CP-058 - CONSULTATION PAPER
CP 58 Unit pricing: Guide to good practice

Released 23 December 2004. Comment closed 18 February 2005. Joint ASIC and APRA consultation paper. Both APRA and ASIC, who have regulatory ...

REP-058 - REPORT
REP 58 Report on the auditor inspection program

Released November 2005. This report summarises ASIC’s first year of on-site inspections of audit firms since the enactment of CLERP 9. This report ...

RG-057 - REGULATORY GUIDE
RG 57 Notification of rights of review

Reissued 9 July 2003 Previous version: see [SPN 57] (issued 15 May 1995 and superseded 9 July 2003) in the ASIC Digest on CD-ROM. Section 244 of ...

CP-057 - CONSULTATION PAPER
CP 57 Buy backs: Small parcels

Released 13 December 2004. Comment closed 16 February 2005. We give case-by-case relief under the Corporations Act 2001 (Act) so that a company ...

REP-057 - REPORT
REP 57 Market assessment report: Australian Clearing House Pty Limited, ASX Settlement and Transfer Corporation Pty Limited

Released October 2005. This report summarises ASIC’s assessment under s823C of the Corporations Act 2001 (Act) of the compliance by ACH and ASTC ...

INFO-056 - INFORMATION SHEET
Reduction in share capital

See also: Shares Share buy-backs Cancellation of shares: Reference guide A reduction of share capital occurs when any money paid to a company in ...

RG-056 - REGULATORY GUIDE
RG 56 Prospectuses

Issued 20 May 1996 Updated 15 July 1996, 3 March 1997, 4 August 1997, 9 February 2000 Previous version: Superseded Policy Statement 56 ...

CP-056 - CONSULTATION PAPER
CP 56 Superannuation: Delivery of product disclosure and investment choice

Released 11 November 2004. Comment closed 22 December 2004. This policy proposal paper explains what class order relief we are considering for ...

REP-056 - REPORT
REP 56 Market assessment report: SFE Clearing Corporation Pty Limited

Released October 2005. This report summarises ASIC’s assessment of compliance by SFE Clearing Corporation Pty Limited (SFECC) with its obligations ...

RG-055 - REGULATORY GUIDE
RG 55 Statements in disclosure documents and PDSs: Consent to quote

Issued 17 March 2016 This regulatory guide is for persons who prepare disclosure documents and Product Disclosure Statements (PDSs). It explains how ...

CP-055 - CONSULTATION PAPER
CP 55 External administration: Liquidator registration

Released 8 October 2004. Comment closed 30 November 2004. This policy proposal paper outlines ASIC’s proposed new approach to the registration of ...

REP-055 - REPORT
REP 55 Collecting statute-barred debts

Released September 2005. A recent decision of the Supreme Court of Victoria in Collection House Ltd v Taylor has focused attention on the conduct of ...

INFO-055 - INFORMATION SHEET
Receivership: A guide for employees

This information sheet (INFO 55) provides information for employees of companies in receivership. It covers: who is an employee the purpose of ...

RG-054 - REGULATORY GUIDE
RG 54 Principles for cross-border financial regulation

Issued 29 June 2012 This guide sets out ASIC’s approach to recognising overseas regulatory regimes for the purpose of facilitating cross-border ...

CP-054 - CONSULTATION PAPER
CP 54 Proposed relief for constitutions of registered managed investment schemes

Released 1 October 2004. Comment closed 30 November 2004. This Consultation Paper sets out proposals for ongoing class order relief from certain ...

REP-054 - REPORT
REP 54 Getting home insurance right: ASIC's report on home building underinsurance

Released September 2005. This report identifies the following reasons for consumers being underinsured: Standard home building policies in ...

INFO-054 - INFORMATION SHEET
Receivership: A guide for creditors

This information sheet (INFO 54) provides information for unsecured creditors of companies in receivership. It covers: who is a creditor? the ...

RG-053 - REGULATORY GUIDE
RG 53 The use of past performance in promotional material

Issued 1 July 2003 This publication provides general guidance to the financial services industry on the appropriate use of past performance ...

CP-053 - CONSULTATION PAPER
CP 53 Licensing: Securitisation

Released 17 August 2004. Comment closed 17 September 2004. This Consultation Paper sets out ASIC’s proposals for ongoing relief from the ...

REP-053 - REPORT
REP 53 Good transaction fee disclosure

Released 7 September 2005. The Australian Securities and Investments Commission (ASIC) is committed to encouraging improvements in transaction fee ...

INFO-053 - INFORMATION SHEET
Directors: Obligations to external administrators

This information sheet (INFO 53) provides general information for company officers about their obligations when a company is insolvent. It covers: ...

RG-052 - REGULATORY GUIDE
RG 52 Enforcement action submissions (withdrawn)

This regulatory guide was withdrawn on 7 August 2017. See now INFO 151 ASIC's approach to enforcement.  

CP-052 - CONSULTATION PAPER
CP 52 Dollar disclosure

Released 10 August 2004. Comment closed 7 September. This policy proposal paper outlines how we propose to administer the dollar disclosure ...

REP-052 - REPORT
REP 52 Market assessment report: Chicago Mercantile Exchange Inc

Released August 2005. Section 794C of the Act requires the Australian Securities & Investments Commission (ASIC) to assess how well a licensed ...

INFO-052 - INFORMATION SHEET
Guidance for whistleblowers

This information sheet (INFO 52) has been withdrawn and superseded by the following new information sheets: Information Sheet 238 Whistleblower ...

RG-051 - REGULATORY GUIDE
RG 51 Applications for relief

Issued 27 July 2020 This guide is for applicants and advisers who are applying to ASIC for relief (i.e. by exemption or declaration (to omit, vary or ...

CP-051 - CONSULTATION PAPER
CP 51 CLERP 9: Authorised audit companies - Insurance arrangements

Released 16 June 2004. Comment closed 30 July 2004. This policy proposal sets out what we consider are adequate and appropriate professional ...

REP-051 - REPORT
REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance

Released November 2005 This report provides more detail on the results of our super switching surveillance, as requested by the Parliamentary Joint ...

INFO-050 - INFORMATION SHEET
Notifying a market operator about directors’ interests in company securities

This information sheet (INFO 50) is for directors of listed companies. It explains when and how to notify a relevant market operator about relevant ...

RG-050 - REGULATORY GUIDE
RG 50 Omission of