Find a regulatory document

1691 results found
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 release ...

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 ...

Last updated: 20/10/2014 12:00