Released 31 October 2024 This is ASIC’s third publication of the information we have received under the reportable situations regime. It provides ...

Released 30 October 2024 This report summarises findings from our financial reporting and audit surveillances and other complementary work for the ...

Released 29 October 2024.  ASIC reviewed how 23 AFS licensees and credit licensees are using and planning to use artificial intelligence, how they ...

Released 11 October 2024 This report is for AFS licensees, credit licensees, auditors, lawyers, service providers and financial services industry ...

Released 3 October 2024 This report highlights the key issues that arose out of the submissions received on Consultation Paper 376 Registered ...

Released 10 September 2024. In 2023–24, we reviewed compliance with the reasonable steps obligation by issuers of high-risk investment products, ...

Released 9 September 2024. This report provides an overview of ASIC’s work and key matters between 1 January and 30 June 2024. Read the report (PDF ...

Released 5 September 2024 This report highlights the key issues that arose out of the submissions received on Consultation Paper 377 Guidance for ...

Released 22 August 2024 This report highlights the key issues that arose out of the submissions received on Consultation Paper 375 Proposed changes ...

Released 23 August 2024. This report outlines ASIC’s regulatory interventions made between 1 April 2023 and 30 June 2024 in relation to concerns ...

Released 20 August 2024. This is the analysis of our review of the current scam related activities of 15 of Australia’s authorised deposit-taking ...

Released 7 August 2024. This report outlines the findings from our review of simplified liquidations for the period 1 January 2021 to 30 June 2023. ...

Released 30 July 2024. This report provides information on how Australians use credit cards and on the consumer harm that can result from problematic ...

Released 24 July 2024 This report sets out the findings of our review of Australian equity market cleanliness, with data from 2006 and a deep dive ...

Released 24 July 2024 This report highlights some of the key findings from our review of Australian listed equity market cleanliness (Report 787) and ...

Released 15 July 2024. This report provides findings into ASIC’s Better banking for Indigenous consumers project addressing fee harm experienced by ...

Released 2 July 2024. This industry update summarises the responses to a voluntary survey issued by the Australian Securities and Investments ...

Released 20 May 2024 In late 2023, ASIC reviewed 10 large home loan lenders to understand how they are supporting customers experiencing financial ...

Released 20 May 2024 This report is for all lenders that provide credit regulated under the National Credit Code, particularly for staff within ...

Released 9 May 2024. This report provides insights into the extent to which superannuation trustees are acting to protect members’ superannuation ...

This report provides an overview of ASIC’s work and key matters between 1 October and 31 December 2023. Read the report (PDF 3.63 MB)

Released 21 February 2024. This report examines the role of superannuation trustees, financial advisers and Australian financial services licensees ...

Released 6 December 2023. In 2022–23, we conducted a review of online trading providers. This report summarises our key observations on the practices ...

Released 15 November 2023. This report provides an overview of ASIC’s work and key matters between 1 July and 30 September 2023. Read the report (PDF ...

Released 13 November 2023. This report outlines key findings from the ASIC cyber pulse survey 2023. It summarises important trends, identifies areas ...

Released 31 October 2023.  This is ASIC’s second publication of the information provided under the reportable situations regime. It provides ...

Released 18 October 2023. This is the first report that summarises findings from our reviews of both financial reports and audit files for the period ...

Released 28 September 2023. This report highlights the key issues that arose out of the submissions received on Consultation Paper 365 Remaking ASIC ...

Released 21 September 2023 This report is for AFS licensees, credit licensees, lawyers, service providers and financial services industry ...

Released 20 September 2023.  This report highlights the key issues that arose out of the submissions received on Consultation Paper 366 Proposed ...

Released 6 September 2023.  In 2022–2023, we reviewed compliance with the design and distribution obligations by issuers of retail over-the-counter ...

Released 7 September 2023. This report highlights the key issues that arose out of the submissions received on Consultation Paper 367 Remaking ASIC ...

Released 16 August 2023.  This report outlines ASIC’s work to better understand the consumer experience in home insurance claims since 1 January ...

Released 2 August 2023. This report provides an overview of ASIC’s work and key matters between 1 April and 30 June 2023. Read the report (PDF 800 ...

Released 18 July 2023. This information report sets out the findings of a recent thematic review of the implementation of the retirement income ...

Released 23 June 2023. This report explains how failures by general insurers to manage non-financial risk have led to significant consumer harm. It ...

Released 11 May 2023. This report provides an overview of ASIC’s work and key matters between 1 January and 31 March 2023. Read the report (PDF 622 ...

Released 10 May 2023. This report outlines ASIC regulatory interventions made between 1 July 2022 and 31 March 2023 in relation to greenwashing ...

Released 3 May 2023. In 2022, ASIC reviewed compliance with the design and distribution obligations by issuers of investment products (i.e. interests ...

Released 20 April 2023. This report is the analysis of our review of the current scam related activities of the four major Australian banks. From our ...

Released 22 March 2023. This report examines progress by superannuation trustees to improve their arrangements for life insurance in superannuation. ...

Released 21 March 2023.  This report highlights the key issues that arose out of the submissions received on Consultation Paper 364 Modifications to ...

Released 2 March 2023 This report provides insights for companies and superannuation trustees when designing programs or frameworks to manage ...

Released 15 February 2023 This report provides an overview of ASIC’s work and key matters between 1 October and 31 December 2022. Download the report ...

Released 17 January 2023 This report outlines the findings from our review of small business restructuring practitioner appointments from 1 January ...

Released 20 December 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 361 Proposed changes ...

Released 13 December 2022This report summarises ASIC’s work in a targeted review of compliance with the design and distribution obligations by some ...

Released 12 December 2022This report provides an overview of ASIC’s work and key matters between 1 July and 30 September 2022. Download the report ...

This report summarises the findings from an evaluation conducted for ASIC by Susan Bell Research of 274 responses to general superannuation ...

This report provides insights for compliance by superannuation trustees with enforceable obligations and guidance in Regulatory Guide 271 Internal ...

Released 24 November 2022. This report highlights the key issues that arose out of the submissions received on Consultation Paper 356 ETP naming ...

Released 28 October 2022. This report sets out our findings from reviewing audit files at PricewaterhouseCoopers Australia for the period 1 July 2021 ...

Released 28 October 2022. This report sets out our findings from reviewing audit files at KPMG Australia for the period 1 July 2021 to 30 June 2022 ...

Released 28 October 2022. This report sets out our findings from reviewing audit files at Grant Thornton Australia Limited for the period 1 July 2021 ...

Released 28 October 2022. This report sets out our findings from reviewing audit files at Ernst & Young Australia for the period 1 July 2021 to ...

Released 28 October 2022. This report sets out our findings from reviewing audit files at Deloitte Touche Tohmatsu Australia for the period 1 July ...

Released 28 October 2022. This report sets out our findings from reviewing audit files at BDO firms in Australia for the period 1 July 2021 to 30 ...

Released 28 October 2022. This report summarises findings from our review of audit files for the period 1 July 2021 to 30 June 2022. This report will ...

Released 25 October 2022 This report summarises the findings of our thematic review of arrangements used by participants in wholesale financial ...

Released 25 October 2022 This report: promotes efficient, honest and fair Australian fixed income markets by highlighting key conduct risks in these ...

Released 27 October 2022. This is ASIC’s first publication of the information provided under the reportable situations regime. It provides high-level ...

Released 19 October 2022 This report summarises thematic findings from our review of root cause analysis of negative audit quality findings performed ...

Released 30 September 2022 This report is for AFS licensees, credit licensees, lawyers, service providers and financial services industry ...

Released 27 September 2022. This report highlights the key issues that arose out of the submissions received on Consultation Paper 350 Consumer ...

Released 5 September 2022. This report highlights the key issues that arose out of the submissions received on Consultation Paper 362 Extension of ...

Released 11 August 2022. This report was produced by SEC Newgate Research in close consultation with ASIC. It presents the findings of research into ...

Released 3 August. This report highlights the key issues that arose out of the submissions received on Consultation Paper 359 Update to RG 263 ...

Released 28 July 2022. This report provides an update on ASIC’s work between 1 April and 30 June 2022. Editor's note: On 16 August 2022 we made minor ...

Released 14 July 2022. This report summarises our review of a series of pump and dump events that occurred in listed equity markets over 2020–21. ...

Released 5 July 2022. This report highlights the key issues that arose out of the submissions received on Consultation Paper 351 Superannuation ...

Released 1 July 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 352 Communicating audit ...

Released 24 June 2022 This report gives an update on ASIC’s work on superannuation trustee communications relating to the annual performance test ...

Released 23 June 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 360 Corporate collective ...

Released 26 May 2022 The Regulator Performance Framework (Framework) provides a set of six common key performance indicators (KPIs) for Australian ...

Released 13 May 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 353 Proposed amendments ...

Released 28 April 2022 This report provides an update on ASIC’s work undertaken between 1 January and 31 March 2022. Read the report (PDF 262 KB)

Released 6 April 2022 This report summarises ASIC’s analysis of the impact of its product intervention order imposing conditions on the issue and ...

Released 30 March 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 357 Remaking relief for ...

Released 28 March 2022 This report provides an update on our enforcement action between 1 July and 31 December 2021. During this period, we continued ...

Released 10 March 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 347 Proposed amendments ...

Released 10 March 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 342 Proposed amendments ...

Released 10 March 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 314 Market integrity ...

Released 7 March 2022 This report highlights the key issues that arose out of the submissions received on Consultation Paper 341 Review of the ...

Released 3 February 2022 This report provides an update on ASIC’s work undertaken between 1 October and 31 December 2021. Read the report (PDF 515 ...

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). ...

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

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 ...

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 ...

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 ...

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

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 ...

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 ...

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

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

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

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

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)

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

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

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

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

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

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

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)

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 ...

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

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

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

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

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

Released 6 May 2021 This report provides an update on ASIC’s work undertaken between 1 January and 31 March 2021. Download the report (PDF 3.68 MB)

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

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 ...

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

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

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

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

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 ...

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 ...

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 ...

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 ...

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, ...

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

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 ...

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

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

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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

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. ...

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

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 ...

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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 ...

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

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

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

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

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 ...

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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

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

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

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, ...

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

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

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 ...

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

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

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 ...

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

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

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

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

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

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

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

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

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 ...

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

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

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

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 ...

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 ...

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

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

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

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

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

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

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

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

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

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

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) ...

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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 ...

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

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 Market ...

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

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

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

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

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

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

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

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 ...

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

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

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 ...

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

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

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

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

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

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

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

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

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

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:  ...

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

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 ...

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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 ...

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

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

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

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

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 ...

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

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:   ...

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

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

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 ...

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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 ...

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

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

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 ...

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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) ...

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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

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

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

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

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

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

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

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 ...

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

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

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

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

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

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

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 ...

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

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)  

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

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

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

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

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

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

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

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

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

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

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

Released 7 November 2024. Comments close 19 December 2024. This consultation paper seeks feedback on: ASIC’s proposals to issue a regulatory guide ...

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

Released 30 July 2024. Comments close 10 September 2024. This consultation paper sets out our proposals to make the ASIC CS Services Rules 2024 to ...

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)   ...

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

Released 11 April 2024. Comments close 6 June 2024.  This consultation paper seeks feedback from liquidators, voluntary administrators and receivers ...

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

Released 8 March 2024. Comments close 2 May 2024. This consultation paper seeks feedback on proposed changes to the existing Regulatory Guide 258 ...

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

Released 15 February 2024. Comments closed 28 March 2024. This consultation paper proposes further amendments to the ASIC Derivative Transaction ...

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

Released 24 November 2023. Comments closed 5 January 2024. This consultation paper sets out ASIC’s proposals to remake Class Order [CO 13/721] Relief ...

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

Released 17 November 2023. Comments closed 15 January 2024. This consultation paper seeks interested parties' views on proposed changes to the ...

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

Released 14 September 2023. Comments close 26 October 2023. This consultation paper seeks feedback from directors, professional advisers, registered ...

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

Released 10 August 2023. Comments closed 31 August 2023. This consultation paper sets out ASIC’s proposals to extend the product intervention orders ...

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

Released 15 June 2023. Comments closed 6 July 2023. This consultation paper sets out our proposals to remake the ASIC Derivative Trade Repository ...

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 ...

Released 28 March 2023. Comments closed 28 April 2023. This consultation paper sets out ASIC’s proposals to remake our class orders on platforms. ...

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

Released 21 March 2023. Comments closed 11 April 2023. This consultation paper sets out ASIC’s proposals to remake our class orders on changing ...

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

Released 3 March 2023. Comments closed 31 March 2023. This consultation paper sets out ASIC’s proposals to remake our class orders on financial ...

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

Released 15 February 2023. Comments closed 29 March 2023. This consultation paper sets out our proposals to modify the contract types that are ...

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

Released 30 November 2022. Comments closed 23 January 2023. This consultation paper sets out ASIC’s proposals to remake a number of our class orders ...

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

Released 29 September 2022. Comments closed 31 October 2022. This consultation paper is about relief that ASIC proposes to provide to facilitate the ...

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

Released 30 June 2022. Comments closed 29 July 2022. This consultation paper sets out ASIC’s proposal to remake, without significant changes, Class ...

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)  

Released 26 May 2022. Comments closed 20 June 2022. This paper summarises ASIC’s analysis of the impact of our product intervention order banning the ...

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

This page contains CP 361 and also CP 361a which sets out follow-on proposals to CP 361. CP 361 Proposed changes to simplify the ASIC Derivative ...

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

Released 17 March 2022. Comments closed 14 April 2022. This consultation paper seeks feedback on our proposed guidance on corporate collective ...

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

Released 28 February 2022. Comments close 28 March 2022. This consultation paper sets out ASIC’s proposals to update Regulatory Guide 263 Financial ...

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

Released 18 February 2022. Comments closed 12 April 2022. This consultation paper sets out ASIC’s proposals to remake our class orders and one ...

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

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

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

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

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

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 ...

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)  

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

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)  

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

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 ...

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

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

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

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

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

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

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

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)   ...

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

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

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 ...

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

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

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) ...

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

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 ...

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 ...

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

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

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

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

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

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 ...

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 ...

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

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

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

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

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 ...

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

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

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 ...

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

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

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

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

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

Released 27 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 187 Effective ...

Released 19 November 2020. Comments close 29 January 2021. This consultation paper seeks feedback on our proposed approach to implementing aspects of ...

Released 26 March 2013. This assessment covers the period 1 October 2011 to 30 September 2012 (the assessment period). Download REP 333 (PDF 125 ...

Released 17 November 2020. Comments closed 18 January 2021. This consultation paper seeks information from financial advice industry participants and ...

Released 27 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 181 Retail trading ...

Released 29 July 2020. Comments close 20 August 2020 This consultation paper sets out ASIC’s proposals to remake our class orders on unlicensed ...

Released 18 March 2013. This report presents findings from the analytical work done by ASIC’s internal taskforces to assess the impact of dark ...

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 ...

Released 13 March 2013. This report examines how large credit licensees (identified by the number of their authorised credit representatives), ...

Released 10 March 2020. Comments close 7 April 2020. This consultation paper is for persons who provide personal advice to retail clients, ...

Released 1 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 191 Future of ...

Released 24 February 2020. Comments closed 6 April 2020. This consultation paper is about reducing red tape for initial public offers (IPOs). It ...

Released 4 March 2013. This report highlights the key issues that arose out of the submissions received on Consultation Paper 189 Future of ...

Released 20 February 2020. Comments closed 20 March 2020. This consultation paper sets out ASIC's proposals for guidance on reforms relating to ...

Released 26 February 2013. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

Released 16 January 2020. Comments close 28 February 2020. This consultation paper seeks feedback about the circumstances in which ASIC will grant ...

Released 22 February 2013. National Stock Exchange of Australia Limited ACN 000 902 063 SIM Venture Securities Exchange Ltd ACN 087 708 898 This ...

Released 19 December 2019. Comments close 11 March 2020. This paper sets out ASIC’s proposals for guidance on the design and distribution obligations ...

Released 31 January 2013. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

Released 1 October 2019. Comments close 12 November 2019. This consultation paper sets out ASIC’s proposal for using our product intervention power ...

Released 20 December 2012. This report summarises the findings of our review of money market funds in Australia, conducted in the 2011–12 ...

Released 30 September 2019. Comments close 31 October 2019. As the lead Australian Government agency for financial capability, ASIC is reviewing ...

Released 19 December 2012. This assessment covers the period 26 February 2011 to 24 February 2012 (the assessment period). Download REP 323 (PDF ...

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 ...

Released 18 December 2012. This report highlights the key issues that arose out of the submissions received to Consultation Paper 186 Clearing and ...

Released 7 August 2019. Comments close 18 September 2019. This consultation paper seeks feedback on our proposed guidance for entities that must have ...

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) ...

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 ...

Released 13 December 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 177 Electricity ...

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 ...

Released 13 December 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 182 Future of ...

Released 10 July 2019. Comments close 21 August 2019. This consultation paper sets out ASIC’s proposal to remake, without significant changes, Class ...

Released 10 December 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 171 ...

Issued 18 July 2019 This consultation paper is for insurers and Australian financial services (AFS) licensees who sell life insurance or consumer ...

Released 4 December 2012. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to ...

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 ...

Released 3 December 2012. This report sets out our observations of the client money handling practices of issuers of over-the-counter (OTC) ...

Released 3 July 2019. Comments close 9 August 2019. This paper is for foreign financial services providers (FFSPs) that wish to provide financial ...

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) ...

Released 27 June 2019. Comments close 9 August 2019. This consultation paper seeks feedback on proposed market integrity rules for securities and ...

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)   ...

Released 26 June 2019. Comments close 7 August 2019. This paper sets out ASIC’s proposals for guidance on exercising the product intervention power ...

Released 15 November 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 178 Advertising ...

Released 4 June 2019. Comments closed 17 July 2019. This consultation paper seeks feedback on our proposal to address concerns about certain offers ...

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)  

Released 15 March 2019. Comments closed 9 August 2019. This paper seeks feedback on our proposals to update our policy on the internal dispute ...

Released 21 November 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 179 Australian ...

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 ...

Released 8 November 2012. This report highlights the key issues arising out of the submissions received on Consultation Paper 180 ASIC’s power to ...

Released 14 February 2019. Comments close 20 May 2019. This consultation paper seeks feedback on ASIC’s proposals for updating our guidance in ...

Released 30 October 2012 A joint report by the Australian Prudential Regulation Authority, ASIC and the Reserve Bank of Australia. The Australian ...

Released 8 January 2019. Comments closed 2 April 2019. This consultation paper sets out our response to the recommendations in Report 581 Review of ...

Released 19 October 2012. This report highlights the key issues that arose out of written submissions and informal discussions, as well as the ...

Released 13 December 2018. Comments close 6 February 2019. This consultation paper sets out ASIC’s proposal to remake our class order on the ...

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) ...

Released 29 November 2018. Comments close 15 January 2019 (extended to 31 January 2019). ASIC took over responsibility for market supervision in ...

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)   ...

Released 8 November 2018. Comments close 6 December 2018. This consultation paper seeks your feedback on our proposals for updating Regulatory Guide ...

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)   ...

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 ...

Released 3 October 2012. This assessment covers the period 9 February 2011 to 8 February 2012 (the assessment period). Download REP 304 (PDF 82 ...

Released 4 July 2018. Comments close 31 July 2018 This consultation paper is for Australian credit licensees (licensees) that are credit providers ...

Released 28 September 2012. This is a report for participants in the capital markets and financial services industry who are prospective ...

Released 4 July 2018. Comments closed 15 August 2018 This consultation paper sets out our proposed changes to the ASIC Market Integrity Rules ...

Released 24 September 2012. This report considers the impact of certain regulatory measures concerning the short selling of shares, which ASIC ...

This consultation paper is for foreign financial services providers (FFSPs) and other relevant stakeholders, such as users of the services provided ...

Released 18 September 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 174 Hedge ...

Released 15 May 2018. Comments close 28 June 2018. From 1 January 2020, each individual who is authorised to provide personal advice to retail ...

Released 18 September 2012. This report sets out the findings from our review of early termination fees charged by lenders on residential loans ...

Released 14 May 2018. Comments closed 20 June 2018. This consultation paper seeks feedback from short sellers on our proposals to: grant legislative ...

Released 11 September 2012. This report outlines enforcement outcomes achieved by ASIC during the period 1 January 2012 to 30 June 2012. The report ...

Released 5 March 2018. Comments close 6 April 2018. This consultation paper sets out our proposals for two aspects of our oversight role regarding ...

Released 10 September 2012. This report discusses the key findings of a proactive ASIC review of risk management systems of selected responsible ...

Released 12 December 2017. Comments close 27 February 2018. This consultation paper seeks feedback on our financial technology (fintech) licensing ...

Released 7 September 2012. This report presents statistical findings from reports lodged electronically by liquidators, receivers and voluntary ...

Released 26 October 2017. Comments close 8 December 2017. This consultation paper seeks feedback on our proposed guidance in relation to managed ...

Released 13 August 2012. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

Released 16 October 2017. Comments closed 1 December 2017. The National Financial Literacy Strategy (National Strategy) provides a framework to ...

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)  

Released 24 August 2017. Comments close 23 October 2017. This paper seeks feedback from insurers, credit providers, car dealers, insurance and ...

Released 7 August 2012. This assessment covers the period 1 January 2011 to 31 December 2011 (the assessment period). Download REP 294 (PDF 116 ...

Released 20 July 2017. Comments close 31 August 2017. This consultation paper seeks industry feedback on our proposals to implement a tiered market ...

Released 31 July 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 156 Retail OTC ...

Released 17 July 2017. Comments close 21 August 2017. This consultation paper seeks feedback on draft rules proposed to apply to the administration ...

Released 19 July 2012. This report was commissioned by ASIC’s Consumer Advisory Panel and produced by Susan Bell Research. It describes how some ...

This is Information Sheet 292 (INFO 292). It answers frequently asked questions (FAQs) about the requirement to obtain informed consent before ...

Released 11 July 2017. Comments closed 8 August 2017. This consultation paper sets out ASIC’s proposals to make ASIC Client Money Reporting Rules ...

Released 5 July 2012. This report is for responsible entities, providers of custodial and depository services, and their clients. It discusses ...

This is Information Sheet 291 (INFO 291). It answers frequently asked questions (FAQs) about obligations relating to Financial Services Guides ...

This is Information Sheet 290 (INFO 290). It is for auditors of Australian financial services (AFS) licensees who wish to resign from office. It is ...

Released 30 June 2017. Comments close 31 August 2017. This consultation paper seeks feedback on our proposals to provide further guidance on ...

Released 28 June 2012. This report highlights the key issues that arose out of the submissions received to Consultation Paper 168 Australian ...

This is Information Sheet 289 (INFO 289). It is for auditors of retail corporate collective investment vehicles (retail CCIVs) financial reports and ...

Released 22 June 2017. Comments close 3 August 2017. This consultation paper seeks feedback on our proposed guidance for entities looking to provide ...

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 ...

This is Information Sheet 288 (INFO 288). It is for auditors of registrable superannuation entities (RSEs) who wish to resign. It is also for ...

Released 22 June 2017. Comments close 3 August 2017. This consultation paper seeks feedback on our proposed guidance for public companies seeking to ...

Released 24 May 2012. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

Released 22 June 2017. Comments close 4 August 2017. This consultation paper sets out ASIC’s proposal to remake our class order on mortgage ...

Released 22 May 2012. This report is for registered liquidators and other interested stakeholders. It summarises the work undertaken and outcomes ...

This is Information Sheet 287 (INFO 287). It answers frequently asked questions (FAQs) for financial advisers who must get a client’s written ...

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 ...

Released 16 May 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 170 Downstream ...

This is Information Sheet 286 (INFO 286). It answers frequently asked questions (FAQs) for financial advisers who must get a client’s written ...

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 ...

Released 9 May 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 141 Mortgage schemes: ...

Released 31 May 2017. Comments close 31 July 2017. This consultation paper sets out ASIC’s proposals for updating Regulatory Guide 90 Example ...

Released 4 May 2012. This report summarises ASIC’s fifth annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

This is Information Sheet 284. It provides guidance for preparers of financial reports to ensure that consolidated entity disclosure statements ...

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 ...

Released 2 May 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 175 Carbon markets: ...

This is Information Sheet 283 (INFO 283). It provides guidance for market intermediaries, including investment banks and participants of exchange ...

Released 17 May 2017. Comments close 15 June 2017. This consultation paper sets out ASIC’s proposals to remake three ASIC instruments on financial ...

Released 29 March 2012. This report is for stakeholders in the exchange traded funds (ETFs) industry. It explains how ETFs are regulated in ...

This is Information Sheet 282 (INFO 282). It is for unlicensed entities that engage with consumers, leading to financial advice. It sets out how the ...

Released 11 April 2017. Comments close 23 May 2017. This consultation paper seeks feedback on our proposal to establish a panel called the Financial ...

Released 29 March 2012. This report outlines enforcement outcomes achieved by ASIC during the period 1 July 2011 to 31 December 2011. The report ...

This is Information Sheet 281 (INFO 281). It provides guidance for relevant providers seeking to access the experienced provider pathway, including ...

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 ...

Released 28 March 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 163 Unlisted ...

This is Information Sheet 280 (INFO 280). It answers frequently asked questions (FAQs) for financial product advice providers who need to get a ...

Issued 11 July 2024 This ASIC-APRA joint information paper (also referred to as RG 279) helps accountable entities and their accountable persons ...

Released 3 March 2017. Comments close 27 March 2017 This consultation paper seeks feedback on a draft legislative instrument (draft instrument) to ...

Released 27 March 2012. In 2011, ASIC conducted shadow shopping research which looked at financial advice about retirement. This report outlines ...

This is Information Sheet 279 (INFO 279). It explains how to serve legal documents on ASIC. It sets out: how to serve legal documents electronically ...

This ASIC-APRA joint information paper (also referred to as RG 278) helps ADIs transition from the Banking Executive Accountability Regime (BEAR) to ...

Released 17 February 2017. Comments close 20 March 2017 This consultation paper sets out ASIC’s proposals to remake our class order on reporting ...

Released 14 February 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 167 Advertising ...

This is Information Sheet 278 (INFO 278). It provides information about transparency and disclosure obligations that apply to superannuation trustees ...

Issued 27 September 2022 This guide sets out our guidance on consumer remediation conducted by: Australian financial services (AFS) licensees  ...

Released 24 January 2017. Comments close 7 March 2017 This consultation paper seeks feedback from market operators and participants on our proposals ...

Released 7 February 2012. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

This is Information Sheet 277 (INFO 277). It provides guidance for Australian financial services (AFS) licensees on submitting an application for ...

Issued 13 September 2024 This guide is for: superannuation trustees who provide superannuation calculators and retirement estimates to their ...

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

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

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

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 ...

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 ...

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

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

Issued 10 September 2024 This guide is for issuers and distributors of financial products that must comply with the design and distribution ...

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

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

This is Information Sheet 274 (INFO 274). It is for Australian financial services (AFS) licensees and their representatives who provide personal ...

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 ...

Released 23 November 2016. Comments close 21 December 2016. This consultation paper sets out ASIC’s proposals to repeal class orders on holding ...

Released 30 January 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 133 Agribusiness ...

This is Information Sheet 273 (INFO 273). It sets out an overview of your rights and how to exercise them when the Financial Services and Credit ...

Issued 17 June 2020 The product intervention power is one of several regulatory tools available to ASIC to improve consumer outcomes. It allows ASIC ...

Released 17 November 2016. Comments close 12 January 2017. This consultation paper sets out ASIC’s proposals to remake our class orders on ...

Released 24 January 2012. This report highlights the key issues that arose out of the submissions received on Consultation Paper 134 ...

This is Information Sheet 272 (INFO 272). It explains how to: register a CCIV and initial sub-fund(s) register further sub-funds of a CCIV. This ...

Issued 2 September 2021 This guide is for Australian financial services (AFS) licensees, unlicensed product issuers, unlicensed secondary sellers, ...

Released 10 November 2016. Comments close 7 December 2016. This consultation paper sets out ASIC’s proposals to remake our class orders on offers ...

Released 22 December 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 165 Credit ...

This is Information Sheet 271 (INFO 271). It provides information about misrepresenting the extent to which a financial product or investment ...

Issued 13 November 2019 This guide is for entities that must have a whistleblower policy under the Corporations Act—public companies, large ...

Released October 2016. Comments close 25 November 2016. This consultation paper sets out ASIC’s proposals to remake four of our class orders ...

Released 21 December 2011. This report highlights the issues that arose out of submissions received on Consultation Paper 159 Acquisitions ...

This is Information Sheet 270 (INFO 270). It explains the circumstances in which ASIC must give financial advisers a written warning or reprimand. ...

This regulatory guide was withdrawn on 30 May 2023.

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 ...

Released 9 December 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 150 Disclosing ...

This is Information Sheet 269 (INFO 269). It is for social media influencers who discuss financial products and services online. It sets out how ...

Issued 8 April 2022 This guide is for entities subject to the ASIC Financial Benchmark (Administration) Rules 2018 and the ASIC Financial Benchmark ...

Released 28 September 2016. Comments due 2 December 2016. This consultation paper seeks feedback on our proposal to repeal Class Order [CO 03/824] ...

Released 13 December 2011. This report highlights the key issues that arose out of the submissions to Consultation Paper 160 Credit rating ...

This is Information Sheet 268 (INFO 268). It is for relevant providers who provide, or intend to provide, tax (financial) advice services.  On 1 ...

Issued 2 September 2021 This regulatory guidance sets out how we will perform our oversight role in relation to the Australian Financial Complaints ...

Released 15 August 2016. Comments closed 12 September 2016. This consultation paper sets out ASIC’s proposals to remake our class orders relating to ...

Released 6 December 2011. This report summarises ASIC’s eighth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

This is Information Sheet (INFO 267). It is for Australian financial services (AFS) licensees and their representatives who provide personal advice ...

Issued 2 August 2022 This guide is for market participants subject to the ASIC Market Integrity Rules (Futures Markets) 2017 and ASIC Market ...

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 ...

Released 7 December 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 122 ...

This is Information Sheet 266 (INFO 266). It answers frequently asked questions (FAQs) about the obligations that apply to a providing entity when ...

Issued 2 August 2022 This guide is for market participants subject to the ASIC Market Integrity Rules (Securities Markets) 2017 and ASIC Market ...

Released 25 July 2016. Comments due 7 October 2016. The Australian Securities and Investments Commission Act 2001 (ASIC Act) was amended in 2012 to ...

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 ...

This is Information Sheet 265 (INFO 265). It gives guidance to market intermediaries about reporting suspicious activity in FICC markets (FICC SARs) ...

Issued 21 December 2017 This guide is for Australian financial services (AFS) licensees who are involved in providing research. It supplements our ...

Released 21 July 2016. Comments due 1 September 2016. This consultation paper sets out ASIC’s proposal to remake, with changes, Class Order [CO ...

Released 22 November 2011. This report sets out the findings of a review of loans not involving real property provided by micro lenders between ...

This is Information Sheet 264 (INFO 264). It is for Australian financial services (AFS) licensees who are advice licensees and for financial ...

Issued 28 March 2024  This guide sets out the principles and processes relating to the Financial Services and Credit Panel (FSCP). The FSCP makes ...

Released 21 July 2016. Comments due 1 September 2016. This paper sets out our proposals to provide guidance to responsible entities on our ...

Released 22 November 2011. This report presents statistical findings from reports lodged electronically by liquidators, receivers and voluntary ...

This information sheet (INFO 263) was withdrawn on 21 February 2024.

Issued 18 October 2018 This guide is for entities providing, or looking to provide, a crowd-funding service as a crowd-sourced funding (CSF) ...

Released 13 July 2016. Comments due 11 August 2016.  This consultation paper sets out ASIC’s proposals to remake an exemption instrument and eight ...

Released 17 November 2011. This report sets out the findings of a review of home loan applications prepared by credit assistance providers between ...

This information sheet (INFO 262) was withdrawn on 21 February 2024.

This is Information Sheet 261 (INFO 261). A creditor-defeating disposition is a disposal of company property that prevents, hinders or significantly ...

Issued 19 June 2020 This guide is for companies seeking to raise funds through crowd-sourced funding. This guide explains when a company is ...

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 ...

Released 10 November 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 155 Prospectus ...

Issued 1 July 2022 This guide is for directors, audit committees and senior managers of companies, responsible entities or disclosing entities, and ...

Released 8 June 2016. Comments due 22 July 2016 This paper seeks feedback from financial technology businesses, financial services providers, ...

Released 8 November 2011. National Stock Exchange of Australia Limited, ACN 000 902 063 SIM Venture Securities Exchange Ltd, ACN 087 708 898 ...

This is Information Sheet 260 (INFO 260). It answers some frequently asked questions (FAQs) to help financial advisers who are existing providers ...

Issued 6 October 2022 This guide is for Australian financial services (AFS) licensees that are responsible entities or corporate directors (fund ...

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 ...

Released 7 November 2011. This report highlights the key comments received in the submissions on Consultation Paper 140 Responsible entities: ...

This is Information Sheet 259 (INFO 259). It is for: Australian financial services (AFS) licensees who provide personal advice to retail clients ...

This is Information Sheet (INFO 258). It is for registered liquidators.  This information sheet explains: the statutory obligation for a registered ...

Issued 3 October 2024 This guide is for individuals who are or wish to become registered liquidators under Schedule 2 to the Corporations Act. This ...

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. ...

Released 28 October 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 144 Giving a PDS ...

This regulatory guide was withdrawn on 25 August 2020. For information about testing innovative financial services and credit activities, see the ...

Released 12 May 2016. Comments due 7 July 2016 This consultation paper sets out our proposals to update our guidance in Regulatory Guide 228 ...

Released 28 October 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 166 Market ...

This is Information Sheet 257 (INFO 257). It is for Australian financial services (AFS) licensees and Australian credit licensees (collectively ...

Issued 15 September 2016 This guide sets out our guidance on review and remediation conducted by Australian financial services (AFS) licensees who ...

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 ...

Released 19 October 2011. This report examines the sales practices of authorised deposit-taking institutions (ADIs) that sell consumer credit ...

This is Information Sheet 256 (INFO 256). It answers frequently asked questions (FAQs) about the obligations that apply to fee recipients who provide ...

Issued 30 August 2016 Digital advice (also known as robo-advice or automated advice) is the provision of automated financial product advice using ...

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 ...

Released 10 October 2011. This report summarises ASIC’s seventh annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

This is Information Sheet 255 (INFO 255). It outlines the practice of activist short selling campaigns in Australia and ASIC's expectations to ...

This is Information Sheet (INFO 254). It is for anyone who provides debt management services. These services were previously not regulated under the ...

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 ...

Released 21 March 2016. Comments due 16 May 2016 This consultation paper sets out ASIC’s proposed approach to the regulation of digital financial ...

Released 22 September 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 127 Schemes of ...

This is Information Sheet 253 (INFO 253). It is for anyone who provides claims handling and settling services for insurance products regulated by ...

Issued 13 October 2014 This is a guide for foreign companies listed on Australian financial markets, their advisers, and other persons involved in ...

Released 29 February 2016. Comments due 30 March 2016This consultation paper sets out ASIC’s proposals to remake our class orders on dollar ...

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 ...

This regulatory guide was withdrawn on 28 September 2023. It provided guidance on ASIC Superannuation (RSE Websites) Instrument 2017/570, which was ...

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 ...

Released 15 September 2011. This is a report for participants in the capital markets and financial services industry who are prospective ...

This is Information Sheet 252 (INFO 252). It sets out practical guidance on frameworks and practices that both buy-side and sell-side entities can ...

This is Information Sheet 251 (INFO 251). It is for trustees of unregistered managed investment schemes (unregistered schemes) that issue, vary or ...

Issued 21 October 2024 This guide is for reporting entities that are subject to the reporting obligations under the ASIC Derivative Transaction ...

Released 16 February 2016. Comments due 18 March 2016 This consultation paper sets out ASIC’s proposals to remake our class order on financial ...

Released 13 September 2011. This report details our findings and recommendations from a review of the 20 largest Australian financial services ...

This is Information Sheet 250 (INFO 250). It outlines our approach to giving AFS and credit licensees (collectively, ‘licensees’) information about ...

Issued 21 August 2013 This regulatory guide was superseded on 4 May 2018 by RG 266.

Released 8 February 2016. Comments closed 8 March 2016. This consultation paper sets out ASIC’s proposals to remake our class orders on property, ...

Released 25 August 2011. This report summarises ASIC’s fourth annual assessment of the London Metal Exchange Limited (LME) under s794C of the ...

This is Information Sheet 249 (INFO 249). It is for responsible entities of registered managed investment schemes (registered schemes) that have ...

Issued 3 October 2023 This guide tells you: when you need an Australian derivative trade repository (ADTR) licence and how to apply for one, whether ...

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 ...

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 ...

This is Information Sheet 248 (INFO 248). The Australian Government has introduced the enhanced regulatory sandbox. The enhanced regulatory sandbox ...

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 ...

Released 22 December 2015. Comments due by 29 February 2016. This consultation paper sets out ASIC’s proposals to remake our class orders relating ...

Released 25 August 2011. This report summarises ASIC’s first annual assessment of ICE Futures Europe (ICE) under s794C of the Corporations Act ...

This is Information Sheet 247 (INFO 247). It summarises the obligations of company officers and senior managers under the whistleblower provisions. ...

Issued 12 August 2019 This guide is for listed entities and their directors. It sets out our guidance for directors on providing useful and ...

Released 16 December 2015. Comments due 26 February 2016. This consultation paper sets out ASIC’s proposed guidance on review and remediation ...

Released 25 August 2011. This report summarises ASIC’s seventh annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

This is Information Sheet 246 (INFO 246). It summarises the obligations of company auditors and members of internal or external audit teams under the ...

Issued 21 November 2024 This guide is for Australian financial services (AFS) licensees and their representatives and other entities that must comply ...

Released 16 December 2015. Comments due 29 January 2016. This consultation paper sets out ASIC’s proposal to remake our class order on ...

Released 12 August 2011. This report highlights the key issues that arose out of the submissions received to Consultation Paper 146 ...

Withdrawn 15 June 2021 This guide has been replaced by Information Sheet 256 FAQs: Ongoing fee arrangements (INFO 256)

Released 15 December 2015. Comments close 29 January 2016. This consultation paper sets out ASIC’s proposals to implement the retail life insurance ...

Released 10 August 2011. This report examines general insurance claims handling and internal dispute resolution (IDR) procedures in the context of ...

This is Information Sheet 245 (INFO 245) is for large listed companies and their boards. It explains factors that boards should consider when ...

This is Information Sheet 244 (INFO 244). It is for all Australian credit licence (credit licence) applicants. As a result of recent amendments to ...

Issued 13 December 2012 This guide is for Australian financial services (AFS) licensees, authorised representatives and advice providers who give ...

Released 4 December 2015. Comments close 15 February 2016. This consultation paper sets out ASIC’s proposals to remake our class orders on dealing ...

Released 1 August 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 161 Proposed ASIC ...

This is Information Sheet 243 (INFO 243). It outlines the licensing requirements that apply to providers of funeral expenses facilities. These ...

Issued 4 March 2019 This guide is for people who wish to audit self-managed superannuation funds (SMSFs) under the Superannuation Industry ...

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 ...

Released 13 July 2011. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

Issued 7 March 2022 This guide is for employees of abandoned companies who are owed employee entitlements and other interested persons, including ...

Released 13 November 2015 This consultation paper sets out ASIC’s proposals to remake our class orders on horse racing syndicates and horse breeding ...

Released 29 June 2011. This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 31 ...

This is Information Sheet 242 (INFO 242). It provides an overview of ASIC’s document production guidelines. The guidelines are designed to help those ...

Issued 2 August 2022 This guide is for trading participants of the markets operated by ASX Limited, Cboe Australia Pty Limited, National Stock ...

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 ...

Released 31 May 2011. This is a report for prospective applicants for relief, including participants in capital markets, financial services ...

This is Information Sheet 241 (INFO 241). It is for trustees of regulated superannuation funds and their associates. This information sheet ...

This is Information Sheet 240 (INFO 240). It is for all Australian financial services (AFS) licence applicants. As a result of amendments to the ...

Issued 6 October 2022 This guide is for those involved in the issue and sale of hedge funds. It sets out our guidance for improved disclosure to ...

Released 1 October 2015 This consultation paper sets out ASIC’s proposals to remake our class orders relating to financial reporting into ASIC ...

Released 19 May 2011. This report was commissioned by ASIC’s Consumer Advisory Panel and produced by Susan Bell Research. It explores the social ...

This regulatory guide was withdrawn on 1 November 2012. See now RG 166 Licensing: Financial requirements.

Released 17 September 2015. Comments due 27 November 2015. This consultation paper seeks feedback on our proposals to make new legislative ...

Released 9 May 2011. This report summarises ASIC’s seventh annual assessment of Asia Pacific Exchange Limited (APX) under s794C of the ...

This is Information Sheet 239 (INFO 239). We value the people from inside companies and organisations who come to ASIC with reports of potential ...

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265 and RG 266.

Released 4 September 2015. Comments due 2 October 2015. This consultation paper sets out ASIC’s proposals to remake our class order on employee ...

Released 29 April 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 148 Proposed market ...

This is Information Sheet 238 (INFO 238). It explains: who is a whistleblower under the law how a whistleblower can access the legal rights and ...

Issued 5 June 2012 This guide is for licensed trustee companies providing traditional trustee company services that are seeking to transfer the ...

Released 26 August 2015. Comments due 23 September 2015. This consultation paper sets out ASIC’s proposals to remake our class orders relating to ...

Released 29 April 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 145 Australian ...

This is Information Sheet 237 (INFO 237). It gives guidance to AFS licensees about how they can mitigate the risks to their clients and business of ...

This is Information Sheet 236 (INFO 236). It explains what rights members have in Indigenous not-for-profits or charities that are set up as ...

Issued 30 September 2024 This guide is for: people involved in carbon abatement activities related to the Australian Carbon Credit Units (ACCU) ...

Released 24 August 2015. Comments due 21 September 2015. This consultation paper sets out ASIC’s proposals to remake two classorders into ASIC ...

Released 20 April 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 138 Dispute ...

This is Information Sheet 235 (INFO 235). If you are involved with a not-for-profit and charitable Indigenous organisation and it is set up as a ...

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 ...

Released 20 August 2015. Comments due 9 September 2015. This consultation paper sets out our proposals to amend the ASIC Market Integrity Rules ...

Released 15 April 2011. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 107 ...

This is Information Sheet 234 (INFO 234). If you are running or involved with a not-for-profit and charitable Indigenous corporation, your company ...

Issued 15 November 2012 This guide is for promoters of financial products, financial advice services, credit products and credit services, and ...

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 ...

Released 30 March 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 143 Expert reports ...

Issued 16 February 2012 About this guide This guide is for investment funds and similar entities and controlled entities of listed companies ...

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 ...

Released 30 March 2011. This report highlights the key issues that arose out of the submissions received on Consultation Paper 142 Related party ...

Issued 30 January 2012 This is a guide for responsible entities and others involved with the issue or advertising of interests in agribusiness ...

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 ...

Released 11 March 2011. This report summarises ASIC’s fourth annual assessment of BGC Partners (Australia) Pty Limited (BGCA) under s794C of the ...

This is Information Sheet 232 (INFO 232). It explains: the background to ASIC’s fees-for-no-service project what a fee for no service is guidance ...

New ID requirement for directors Company directors are now required by law to apply for a director identification number. Find out more at our ...

Issued 24 January 2012 This guide is for listed and unlisted infrastructure entities and their advisers. It sets out ASIC’s benchmarks and disclosure ...

Released 28 May 2015. Comments close 10 July 2015. This consultation paper seeks feedback on our proposals to implement mandatory central clearing ...

Released 11 March 2011. This report summarises ASIC’s sixth annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations Act ...

Issued 9 December 2011 This guide is for directors and preparers of financial information. It sets out our guidance on the use of financial ...

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 ...

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 ...

This is Information Sheet 230 (INFO 230). It is for licensed Australian exchanges that admit exchange traded products (ETPs), including exchange ...

This is Information Sheet 229 (INFO 229). It sets out the licensing obligations that apply to a limited AFS licensee. As a limited Australian ...

This regulatory guide was withdrawn on 1 January 2023. See now RG 276 Superannuation forecasts: Calculators and retirement estimates.

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 ...

Released 15 March 2011. This report sets out a strategy for the development and delivery of initiatives to improve the financial literacy of all ...

This is Information Sheet 228 (INFO 228). It sets out the conduct and disclosure obligations that apply to a limited Australian financial services ...

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, ...

Released 17 February 2015. Comments closed 20 April 2015. This consultation paper seeks feedback from institutional investors, companies, listed ...

Released 1 February 2011. This report summarises ASIC’s seventh annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

This is Information Sheet 227 (INFO 227). It explains all the activities that limited Australian financial services (AFS) licensees can be authorised ...

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), ...

Released 19 December 2014. Comments closed 13 March 2015. This consultation paper sets out ASIC’s proposals for how the consistency requirements ...

Released 17 January 2011. This report summarises key operational statistics and outcomes of ASIC’s market and participant supervisory functions in ...

This regulatory guide was superseded on 4 May 2018 by RG 265 and RG 266.

Released 11 December 2014. Comments close 9 February 2015. This consultation paper sets out ASIC’s proposals to remake into ASIC instruments our ...

Released 18 January 2011. This is a report for prospective applicants for relief, including participants in capital markets, financial services ...

This is Information Sheet 226 (INFO 226). It explains how to comply with the ASIC Client Money Reporting Rules 2017. Under the ASIC Client Money ...

This guide was superseded on 7 August 2019 by reissued RG 216.  

Released 11 December 2014. Comments close 9 February 2015. This consultation paper sets out ASIC’s proposals to remake class orders relating to ...

Released 21 December 2010. This report presents statistical findings from reports lodged electronically by liquidators, receivers and ...

This is Information Sheet 225 (INFO 225). It will help you to understand your obligations under the Corporations Act 2001 (Corporations Act) and the ...

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265.

Released 14 November 2014. Comments close 16 January 2015. This paper seeks feedback from financial product and services providers, consumers of ...

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 ...

This is Information Sheet 224 (INFO 224). It outlines ASIC’s approach to financial reporting and audit surveillances (collectively called ...

Issued 4 May 2015 This regulatory guide was superseded on 4 May 2018 by RG 172,  RG 265 and RG 266.

Released 25 August 2014. Comments close 20 October 2014. This consultation paper sets out ASIC’s proposals for updating our guidance in Regulatory ...

Released 13 December 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 121 Facilitating ...

This is Information Sheet 223 (INFO 223). It outlines how parties other than auditors can contribute to audit quality. While auditors have the ...

Issued 15 April 2011 This guide is for persons who engage in securities lending and prime broking activities. It: seeks to improve disclosure of ...

Released 21 August 2014. Comments close 2 October 2014. This consultation paper seeks feedback from market participants and investors on proposals ...

Released 30 November 2010. ASX Limited, ACN 008 624 691 ASX Clear Pty Limited (formerly known as Australian Clearing House Pty Limited), ACN 001 ...

This is Information Sheet 222 (INFO 222) gives guidance to audit firms when considering how to improve and maintain audit quality. It covers: what ...

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 ...

Released 25 July 2014. Comments close 29 August 2014. This consultation paper seeks feedback on our proposals to amend the ASIC Derivative ...

Released 30 November 2010. This report summarises ASIC’s fourth annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of ...

This is Information Sheet 221 (INFO 221). It provides guidance to assist organisations that are considering whether to have an internal audit ...

Issued 9 November 2023 This is a guide for lenders who provide home loans or residential investment loans (residential loans) regulated by the ...

Released 28 May 2014. Comments closed 25 July 2014. This consultation paper is for foreign companies listed on Australian exchange markets, their ...

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 ...

Issued 10 November 2010 This is a guide for providers, advisers and others involved with the issue of non-standard margin lending facilities. It ...

Released 28 November 2013. Comments closed 3 February 2014. This consultation paper sets out ASIC’s proposals for how remuneration and other ...

Released 30 November 2010. This report summarises ASIC’s sixth annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

This is Information Sheet 219 (INFO 219). It is for both existing licensees and start-ups that are considering operating market infrastructure, or ...

Issued 25 November 2010 This guide is for credit licensees and their representatives, as well as registered persons who engage in credit activities ...

Released 14 November 2013. Comments closed 31 January 2014. This consultation paper is for persons offering and receiving shares or other financial ...

Released 1 December 2010. This report details the final outcomes of the Electronic Funds Transfer Code of Conduct (EFT Code) review. It follows on ...

This is Information Sheet 218 (INFO 218). It explains what you should do if you have a complaint about your life insurance policy.  It covers how ...

Issued 31 August 2020 This guide is for directors and their professional advisers. It may also be of interest to registered liquidators and ...

Released 11 October 2013. Comments closed 30 November 2013. This consultation paper seeks your feedback on our proposal to issue an ASIC class order ...

Released 17 November 2010. This report is for prospective applicants for relief, including participants in capital markets, financial services ...

This is Information Sheet 217 (INFO 217). It answers the following questions: What is a low volume financial market? What must you include in your ...

This is Information Sheet 216 (INFO 216). It is for accountants who provide services relating to self-managed superannuation funds (SMSFs). These ...

Issued 21 January 2021 This guide is for those who are subject to the market integrity rules—principally, market participants. It explains the ...

Released 16 September 2013. Comments closed 11 November 2013. This consultation paper sets out ASIC’s proposal to require Australian financial ...

Released 10 November 2010. This report highlights the key issues that arose out of the submissions received to Consultation Paper 135 Mortgage ...

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265.

Released 19 August 2013. Comments closed 30 September 2013. Download CP 215 (PDF 212 KB) | Read the media release In 2013 we released two ...

Released 4 November 2010. This report provides background and supplementary information and analysis on selected issues discussed in Consultation ...

This is Information Sheet 215 (INFO 215). It explains: What a company limited by guarantee is What kinds of disputes involve companies limited by ...

Issued 20 November 2015 This regulatory guide was superseded on 4 May 2018 by RG 265 and RG 266.    

Released 31 July 2013. Comments closed 23 October 2013. This consultation paper sets out our proposals to update the record-keeping obligations for ...

Released 28 October 2010. This report arises from ASIC’s review of superannuation Product Disclosure Statements (PDSs). It outlines our concerns, ...

This is Information Sheet 214 (INFO 214). It aims to give stakeholders a better understanding of the existing rules that apply to forward-looking ...

Issued 11 May 2012 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

Released 23 July 2013. Comments closed 27 August 2013. This consultation paper sets out ASIC’s proposals for relief to allow interests in certain ...

Released 13 October 2010. This report sets out the key messages and outcomes identified by ASIC’s national insolvent trading program. We expect ...

This is Information Sheet 213 (INFO 213). It gives guidance to assist providers of marketplace lending products and others providing financial ...

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 ...

Released 24 June 2013. Comments closed 30 September 2013. Download CP 212 (PDF 632 KB) | Read the media release In 2013 we released two ...

Released 9 August 2010. This report summarises ASIC’s sixth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

This is Information Sheet 212 (INFO 212). It explains what you can do if you are concerned about or suspect illegal phoenix activity, are dealing ...

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, ...

Released 17 June 2013. Comments closed 12 August 2013. This consultation paper sets out ASIC’s proposals for updating our guidance in Regulatory ...

Released 9 August 2010. This report summarises ASIC’s sixth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

This is Information Sheet 211 (INFO 211). It explains how the law protects small businesses from unfair terms in contracts for financial products and ...

If you are a credit licensee (and not also regulated by APRA) you must have adequate arrangements in place for compensating consumers. The primary ...

Released 11 June 2013. Comments closed 5 July 2013. This consultation paper sets out our proposals on the approach ASIC should take when ...

Released 29 July 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 124 Duty to prevent ...

This is Information Sheet 210 (INFO 210). It explains how the law protects consumers from unfair terms in contracts for financial products and ...

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 ...

Released 30 May 2013. Comments closed 30 August 2013. This consultation paper sets out ASIC’s proposals for updating our guidance in Regulatory ...

Released 21 July 2010. This report summarises ASIC's third annual assessment of The London Metal Exchange Limited (LME) under s794C of the ...

This is Information Sheet 209 (INFO 209). It summarises the findings of REP 452 and the implications for investors and listed entities. On 26 ...

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 ...

Released 30 May 2013. Comments closed 11 July 2013. This consultation paper is for investors, responsible entities, ASX market participants, ASX ...

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 ...

This is Information Sheet 208 (INFO 208). It explains who to contact if you are concerned that a company, company director or other company officer ...

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 ...

Released 20 May 2013. Comments closed 15 July 2013. This consultation paper seeks feedback on the following two options for amending exemptions ...

Released 29 July 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 136 Markets ...

This is Information Sheet 207 (INFO 207). It gives guidance on disputes about commercial loans. It explains: the legal protection that applies to ...

Issued 1 April 2020 Credit licensees must comply with the organisational competence obligation in s47(1)(f) of the National Credit Act and licence ...

Released 30 April 2013. Comments closed 30 June 2013. In 2008, the Australian Securities and Investments Commission (ASIC) was appointed as the ...

Released 15 July 2010. National Stock Exchange of Australia Limited, ACN 000 902 063 Bendigo Stock Exchange Limited, ACN 087 708 898 This report ...

This information sheet (INFO 206) was withdrawn on 8 December 2022. It has been replaced by Information Sheet 274 Tips for giving self-managed ...

Issued 1 April 2020 Credit licensees must comply with general conduct obligations: see s47(1) of the National Consumer Credit Protection Act ...

Released 28 March 2013. Comments closed 1 May 2013. This consultation paper seeks feedback on our proposals to implement a derivative transaction ...

Released 11 July 2010. This report summarises the results of a ‘health check’, conducted by ASIC in 2009, on the contracts for difference (CFD) ...

This information sheet (INFO 205) was withdrawn on 8 December 2022. It has been replaced by Information Sheet 274 Tips for giving self-managed ...

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 ...

Released 21 March 2013. Comments closed 3 May 2013. This paper sets out our proposals for regulatory requirements and guidance relating to the ...

Released 8 July 2010. This report highlights the issues that arose out of submissions received on Consultation Paper 131 Proposed ASIC Market ...

This is Information Sheet 204 (INFO 204). It explains our power to make orders to recover the expenses and costs of investigations we conduct. This ...

Issued 12 October 2017 This guide is for people who may engage in credit activities as defined in the National Consumer Credit Protection Act ...

Released 20 March 2013. Comments closed 19 April 2013. This consultation paper sets out ASIC’s proposed refinements to our policy on ...

Released 5 July 2010. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

This is Information Sheet 203 (INFO 203). It explains your responsibilities as a director in connection with the testing of non-financial assets for ...

This regulatory guide has been withdrawn. For guidance on carried-over-instruments see INFO 110 Lenders with carried over instruments.  

Released 18 March 2013. Comments closed 10 May 2013. This consultation paper is for market operators and market participants of Australia’s equity ...

Released 11 July 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 114 Client money ...

This is Information Sheet 202 (INFO 202). It is for people who are concerned about the accuracy of information on the financial advisers register. ...

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 ...

Released 15 March 2013. Comments closed 12 April 2013. This consultation paper seeks the views of stakeholders, including potential operators of ...

Released 22 July 2010. This report summarises ASIC’s key findings from our review of selected Product Disclosure Statements (PDSs) for capital ...

This is Information Sheet 201 (INFO 201). It explains what you should do if you have a dispute with a business because they have not displayed their ...

This regulatory guide has been withdrawn. See now RG 244 Giving information general advice and scaled advice.

Released 8 March 2013. Comments closed 19 April 2013. This consultation paper sets out our proposed changes to our regulatory approach to managed ...

Released 25 June 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 123 Debentures: ...

This is Information Sheet 200 (INFO 200). It explains when a business should register their name. It also includes information about dealing with ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 13 February 2013. Comments closed 28 March 2013. This consultation paper seeks feedback on reform proposals to strengthen the regulation ...

Released 3 June 2010. This report summarises ASIC’s sixth assessment of Asia Pacific Exchange Limited (APX) under s794C of the Corporations Act ...

This is Information Sheet 199 (INFO 199). It explains what to do about disputes arising between two companies that have similar names. Disputes ...

This is Information Sheet 198 (INFO 198). It deals with extended warranties and how they fit into the regulatory regime under the Corporations Act ...

Issued 18 June 2009 This guide is for unlisted disclosing entities and their advisers.It provides guidance on how unlisted disclosing entities ...

Released 25 January 2013. Comments closed 21 February 2013. This consultation paper explains the background and scope of ASIC’s review of whether ...

Released 6 May 2010. This report summarises ASIC’s fifth annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations Act ...

Issued 4 November 2008 This guide is for issuers of warrants offered under a Product Disclosure Statement (PDS) or Supplementary PDS covering two or ...

Released 20 December 2012. Comments closed 28 February 2013. This consultation paper seeks feedback on our proposals to update our guidance for ...

Released 7 May 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 132 Trustee companies: ...

Issued 8 October 2018 This guide contains an overview of the short selling provisions of the Corporations Act 2001 and the Corporations Regulations ...

Released 17 December 2012. Comments closed 10 February 2013. The consultation paper sets out ASIC’s proposals for relief to allow issuers of ...

Released 11 May 2010. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 126 ...

This is Information Sheet 196 (INFO 196). It is relevant to audit committee members and to directors, whether or not they are members of a company’s ...

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 ...

Released 15 November 2012. Comments closed 21 December 2012. This consultation paper sets out our proposals for amending the ASIC Market Integrity ...

Released 7 May 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 112 Dispute resolution ...

This regulatory guide has been withdrawn (refer: 17-047MR). See now RG 258 Registered liquidators: Registration, disciplinary actions and insurance ...

Released 14 November 2012. Comments closed 14 January 2013. This consultation paper sets out ASIC’s proposed financial requirements for custodial or ...

Released 20 April 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 120 Operators of ...

This is Information Sheet 194 (INFO 194). Who is a creditor? You are a creditor of a company if the company owes you money. Usually, a creditor is ...

Issued 27 June 2008 This guide provides information for directors of Australian listed publiccompanies about their obligations under s205G of the ...

Released 14 November 2012. Comments closed 22 February 2013. This consultation paper seeks feedback on our proposal to update and consolidate a ...

Released 30 March 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 125 Compensation ...

This is Information Sheet 193 (INFO 193). When do share registry disputes arise? A company providing share registry services generally acts as an ...

Issued 4 September 2018  This is a guide for trustees and managers of wholesale equity schemes and their advisers. It is particularly relevant to ...

Released 14 November 2012. Comments closed 30 November 2012. This consultation paper sets out proposed competency standards for auditors of ...

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 ...

This is Information Sheet 192 (INFO 192). It explains what a company’s obligations are when maintaining an up-to-date record of its addresses on ...

This regulatory guide was withdrawn on 5 June 2009.

Released 23 October 2012. Comments closed 4 December 2012. This consultation paper is for: financial advisers who enter into ongoing fee ...

Released 26 February 2010. This report highlights the key issues that arose out of the submissions received on Consultation Paper 115 Responsible ...

This is Information Sheet (INFO 191). What are unsolicited offers? Unsolicited offers are also known as ‘unexpected’ or ‘uninvited’ offers. Put ...

Reissued 25 July 2017 This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective ...

Released 19 October 2012. Comments closed 10 December 2012. This consultation paper seeks comments from industry, consumer representatives, external ...

Released 17 February 2010. This report summarises ASIC's fourth annual assessment of EBS Service Company Limited (EBS) under s794C of the ...

This is Information Sheet 190 (INFO 190). It explains: who needs to lodge financial reports what you may do as a shareholder if you wish a small ...

Issued 17 March 2016 This is a guide for listed companies and managed investment schemes (and their advisers) about rights issues and the disclosure ...

Released 28 September 2012. Comments closed 9 November 2012 This consultation paper sets out ASIC’s proposals for guidance about complying with the ...

Released 17 February 2010. This report summarises ASIC’s sixth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

This is Information Sheet (INFO 189).  What is the difference between a company and a business? A company is a legal entity distinct from its ...

Issued 23 February 2007  This guide explains: how the prospectus provisions of the Corporations Act 2001 apply to reconstructions or capital ...

Released 18 September 2012. Comments closed 13 November 2012. This consultation paper sets out ASIC’s proposals for updating our guidance in ...

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 ...

This is Information Sheet 188 (INFO 188). What are disputes about your rights as a company shareholder (member)? If you own shares in a proprietary ...

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 ...

Released 17 September 2012. Comments closed 23 November 2012. This consultation paper is for listed entities and their directors, and preparers of ...

Released 17 February 2010. This report summarises ASIC’s third annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

This is Information Sheet 187 (INFO 187). It outlines what you should do if you are concerned about a similar business name. Disputes sometimes ...

This regulatory guide has been withdrawn (refer: 17-047MR). See now RG 258 Registered liquidators: Registration, disciplinary actions and insurance ...

Released 11 September 2012. Comments close 19 October 2012. This consultation paper sets out our proposals to amend the existing Regulatory Guide ...

This is Information Sheet 186 (INFO 186).  It covers what you can do if you have a dispute about: access to minutes of meetings access to company ...

Issued 15 November 2005 This guide sets out our approach to regulating non-cash payment (NCP) facilities under the Corporations Act 2001 ...

Released 17 August 2012. Comments closed 21 September 2012. This consultation paper sets out ASIC’s proposed approach on how funders and lawyers can ...

Released 1 March 2010. In May and June 2009, the Australian Securities and Investments Commission (ASIC) conducted a ‘health check’ of the term ...

This is Information Sheet 185 (INFO 185). It outlines how credit licensees should use the reverse mortgage calculator on ASIC's Moneysmart website. ...

Reissued 15 September 2022 This guide is for trustees of superannuation entities (trustees) to help them comply with the product disclosure ...

Released 13 August 2012. Comments closed 14 September 2012. This paper seeks comments on draft market integrity rules and guidance on automated ...

Released 2 February 2010. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

This is Information Sheet 184 (INFO 184). It summarises the requirements for audit transparency reports (transparency reports) as set out in sections ...

Issued 1 March 2013 This guide is for: applicants seeking ASIC approval of a financial services sector code (code) under s1101A of the ...

Released 9 August 2012. Comments closed 20 September 2012. This consultation paper sets out ASIC’s proposed guidance for Australian financial ...

Released 21 January 2010. This report summarises ASIC’s third annual assessment of BGC Partners (Australia) Pty Limited (BGCA) under s794C of the ...

This is Information Sheet 183 (INFO 183). It explains your financial reporting responsibilities as a director. This information sheet outlines: your ...

Issued 5 December 2017 This guide is for Australian financial services (AFS) licensees and authorised representatives (providing entities) and ...

Released 9 August 2012. Comments closed 20 September 2012. This consultation paper sets out ASIC’s proposed guidance for persons who provide ...

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received on our targeted consultation of the ...

This is Information Sheet 182 (INFO 182). It provides general information and compliance tips for financial advisers who provide super switching ...

Issued 30 August 2004 This guide sets out: our general approach to compliance with the statutory obligation to manage conflicts of interest in ...

Released 20 July 2012. Comments closed 31 August 2012. This consultation paper is for market operators and market participants that may trade in ...

Released 14 December 2009. This report summarises ASIC’s fifth annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

This is Information Sheet 181 (INFO 181). It provides general information on ASIC’s powers to provide non-public information and documents to private ...

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 ...

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 ...

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 113 ...

This is Information Sheet 180 (INFO 180). It provides general information on our approach to becoming involved in private court proceedings. This ...

Information sheet (INFO 179) has been withdrawn. For information about limited AFS licences, please see Limited financial services.

Reissued 29 September 2016 This guide sets out how we will regulate managed discretionary account (MDA) services provided to retail clients under the ...

Released 28 June 2012. Comments closed 6 August 2012. This paper seeks comments on draft market integrity rules and guidance following on from ...

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received to Consultation Paper 111 Compensation ...

Issued 29 June 2012 This guide is for operators of foreign collective investment schemes (FCIS) that are authorised in other jurisdictions and wish ...

Released 5 June 2012. Comments closed 6 August 2012. This consultation paper sets out ASIC’s proposals for additional good practice guidance to help ...

Released 18 December 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 110 General ...

This is Information Sheet 178 (INFO 178). It summarises the findings in REP 331 and what they mean for investors and listed entities. On 18 March ...

Issued 30 October 2003 This regulatory guide was superseded on 4 May 2018 by revised RG 172.

Released 4 May 2012. Comments closed 29 June 2012. This consultation paper sets out ASIC’s proposals on our proposed financial requirements for ...

Released 2 December 2009. This report highlights the key issues that arose out of the submissions received to Consultation Paper 109 Margin ...

This is Information Sheet (INFO 177). It is designed to help with the interpretation of our quarterly cash equity market data. It provides ...

Issued 10 March 2020 This guide is for foreign financial services providers (FFSPs) that wish to provide financial services to wholesale clients or ...

Released 13 March 2012. Comments closed 20 April 2012. This paper sets out our proposals for revising our guidance on platforms in Regulatory Guide ...

Released 2 December 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 108 Margin ...

This is Information Sheet 176 (INFO 176). It explains what you should do if you are dissatisfied with a decision made by the Australian Financial ...

Issued 21 November 2024 This guide is for persons who provide financial product advice to retail clients, and their professional advisers (such as ...

Released 9 March 2012. Comments closed 10 April 2012. This consultation paper is for persons likely to require an Australian financial services ...

Released 6 November 2009. National Stock Exchange of Australia Limited, ACN 008 624 691 Bendigo Stock Exchange Limited, ACN 087 708 898 National ...

This is Information Sheet 175 (INFO 175). What is misconduct within a company? Misconduct within a company occurs when a director or company ...

Issued 6 October 2021 This guide is for registered liquidators and other persons who are externally administering the affairs of companies and ...

Released 23 February 2012. Comments closed 19 April 2012. Draft RG included in CP. This consultation paper follows Consultation Paper 147 Hedge ...

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 ...

This is Information Sheet 174 (INFO 174). It explains what you should do if you have a complaint about a financial firm. The term ‘financial firm’ ...

Issued 17 March 2016 This guide is for listed companies and listed managed investment schemes. It outlines the circumstances in which we will ...

Released 24 January 2012. Comments close 6 March 2012. This paper sets out our proposals on administering the transfer determination provisions of ...

Released 22 October 2009. This report outlines the findings of ASIC’s second review of the unlisted, unrated debenture industry. It includes an ...

This is Information Sheet 173 (INFO 173). What are disputes about unpaid debts? Failure to pay a debt is a contractual issue that can arise when ...

Issued 2 August 2022 This guide provides guidance about the licensing regime and regulatory obligations for operators of financial markets. Note: ...

Released 2 December. Comments closed 27 February 2012. Draft RG included in CP. This consultation paper explains the background and scope of ...

Released 15 October 2009. This report summarises ASIC’s second annual assessment of BGC Partners (Australia) Pty Limited (BGCA) under s794C of the ...

This is Information Sheet 172 (INFO 172). It explains the benefits of cooperating with our investigations, and the factors we take into account when ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 16 November. Comments closed 3 February 2012. This paper sets out our proposals for updating our guidance on research reports in ...

Released 7 October 2009. This report summarises ASIC's 4th annual assessment of IMB Limited (IMBL) under s794C of the Corporations Act 2001 (Cth) ...

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 ...

Released 11 November. Comments closed 16 January 2012. This consultation paper sets out ASIC’s proposals for updating and revising our guidance on ...

Released 7 October 2009. This report summarises ASIC's second annual assessment of The London Metal Exchange Limited (LME) under s794C of the ...

This is Information Sheet 170 (INFO 170). It gives guidance to superannuation trustees and other persons in relation to the product dashboard ...

Issued August 2022 This guide is for AFS licensees and financial services providers, and any other person who offers financial products for issue or ...

Released 4 November. Comments closed 23 December 2011. This consultation paper sets out ASIC’s proposals for relief to enable authorised ...

Released 30 September 2009. This report summarises ASIC’s fifth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

This is Information Sheet 169 (INFO 169). Under amendments to the Superannuation Industry (Supervision) Act 1993 (SIS Act), registrable ...

Issued 6 July 2022This is a guide for persons responsible for Product Disclosure Statements (PDSs) and other disclosure obligations (i.e. Australian ...

Released 20 October. Comments closed 10 February 2012 (extended from 20 January). This consultation paper is for market operators and market ...

Released 28 September 2009. ASX Limited, ACN 008 624 691 Australian Clearing House Pty Limited, ACN 001 314 503 ASX Settlement and Transfer ...

This is Information Sheet 168 (INFO 168). It gives guidance to superannuation trustees and other persons on giving and collectively charging for ...

Issued July 2022 This guide is for Australian financial services (AFS) licensees and financial services providers. It explains: how we use our ...

Released 30 August 2011. Comments closed 25 October 2011. This consultation paper sets out ASIC’s proposals on good practice guidance to assist ...

Released 28 September 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 106 Short selling ...

Issued 7 September 2023 This guide sets out the financial requirements you must meet as the holder of an Australian financial services (AFS) licence. ...

Released 17 August 2011. Comments closed 9 September 2011. This consultation paper sets out our proposals for updating the ASIC Market Integrity ...

Released 8 September 2009. This report summarises ASIC’s fifth assessment of Asia Pacific Exchange Limited (APX) under s794C of the Corporations ...

This is Information Sheet 166 (INFO 166). In April 2012, the Committee on Payment and Settlement Systems (CPSS) and the International Organization of ...

Released 5 August 2011. Comments closed 16 September 2011. This paper sets out ASIC’s proposals for modifying the training requirements for credit ...

Released 8 September 2009. This report summarises ASIC’s fourth annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations ...

This is Information Sheet 165 (INFO 165). It explains how we approach claims of legal professional privilege (LPP). Section 1: Legal professional ...

This regulatory guide has been withdrawn. See now RG 104 Licensing Meeting the general obligations and RG 105 Licensing: Organisational competence

Released 28 July 2011. Comments closed 8 September 2011. This paper sets out ASIC’s proposals to provide additional guidance on how to scale ...

Released 31 July 2009. This report summarises ASIC’s second annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

This information sheet (INFO 163) was withdrawn on 1 September 2017. 

This regulatory guide has been withdrawn. See media release 16-423MR ASIC updates takeovers guidance on minimum bid price rule for information.

Released 12 July 2011. Comments closed 6 September 2011. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

Released 31 July 2009. This report summaries ASIC’s fifth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the Corporations ...

Issued 15 August 2000 Amended 4 July 2007 This guide explains: how we approach the regulation of internet discussion sites (IDS) that this policy ...

Released 16 June 2011. Comments closed 14 July 2011. This consultation paper seeks feedback on specific aspects of our proposed relief under s259C ...

Released 3 August 2009. This report outlines our decisions on relief applications during the period 1 December 2008 to 31 March 2009. It summarises ...

This is Information Sheet 162 (INFO 162). What are disputes about the running of companies? Disputes that arise in small proprietary companies are ...

Issued 6 March 2018 This guide is for companies and responsible entities, operators of their registries, and intermediaries involved in the operation ...

Released 3 June 2011. Comments closed 30 June 2011. This consultation paper sets out our proposals for ASIC market integrity rules for capital and ...

Released 14 July 2009. This report summarises ASIC’s third assessment of EBS Service Company Limited (EBS) under s794C of the Corporations Act 2001 ...

This is Information Sheet 161 (INFO 161). What are disputes about goods and services? When you buy or sell goods or services, you enter into a ...

Issued 11 December 2020 This guide is for responsible entities, operators and promoters of time-sharing schemes, and those who provide credit ...

Released 1 June 2011. Comments closed 13 July 2011. This consultation paper seeks the views of stakeholders, including credit rating agencies ...

Released 18 June 2009. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 105 ...

This is Information Sheet 160 (INFO 160). What are disputes about employee entitlements? Employee entitlements include wages or salary (your pay), ...

This is Information Sheet 159 (INFO 159). It provides information for consumers about frozen funds and hardship withdrawals. What is a frozen fund? A ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 26 May 2011. Comments closed 1 August 2011. This consultation paper sets out ASIC’s proposals for updating our policy in Regulatory Guide ...

Released 18 June 2009. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 103 Review ...

Issued 17 February 2000 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

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 ...

Released 22 May 2009 A joint report by the Australian Prudential Regulation Authority, ASIC and the Reserve Bank of Australia. In April 2008, the ...

This is Information Sheet 157 (INFO 157). It explains how a foreign financial services provider (FFSP) intending to provide financial services to ...

Issued 17 February 2000 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016

Released 12 May 2011. Comments closed 9 June 2011. This consultation paper sets out ASIC’s proposals for new market integrity rules for the ...

Released 18 May 2009. This report summarises ASIC’s sixth assessment of National Stock Exchange of Australia Limited (NSEAL) under s794C of the ...

Issued February 2012This guide is for issuers of, and publishers of advertisements for, mortgage debentures, debentures, secured notes, and unsecured ...

Released 9 May 2011. Comments closed 4 July 2011. This consultation paper sets out ASIC’s proposals on the financial requirements to apply to ...

Released 18 May 2009. This report highlights the key issues that arose out of the submissions received on Consultation Paper 102 Dispute ...

This is Information Sheet 156 (INFO 156). It is for anyone intending to apply for either a new Australian financial services (AFS) licence or a ...

Issued 17 February 2000 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

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 other ...

Released 14 May 2009 A joint report by the Australian Competition and Consumers Commission and ASIC. The Australian Competition and Consumer ...

This is Information Sheet 155 (INFO 155). It provides concise guidance for industry on the requirements of the shorter Product Disclosure Statement ...

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 ...

Released 8 April 2011. Comments closed 6 May 2011. This consultation paper follows Consultation Paper 134 Infrastructure entities: Improving ...

Released 8 May 2009. This report summarises the fourth assessment of Asia Pacific Exchange Limited (APX) by the Australian Securities and ...

Released 6 April 2011. Comment closed 1 June 2011. This consultation paper seeks feedback on our proposed assessment and professional development ...

Released 1 May 2009. This report summarises ASIC’s fourth annual assessment of Reuters Transaction Services Limited (RTSL) under s794C of the ...

This is Information Sheet 153 (INFO 153). ASIC welcomes reports or tip-offs about misconduct under the laws we administer. By reporting misconduct ...

Issued 17 February 2000 Updated 7 June 2000, 2 July 2003 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents ...

Released 28 March 2011. Comments closed 13 May 2011. This consultation paper seeks feedback on ASIC’s proposed minor modifications, and limited ...

Released 7 May 2009. This report examines the processes and procedures lenders and brokers have in place to deal with borrowers experiencing ...

This is Information Sheet 152 (INFO 152). This information sheet explains: when ASIC may comment publicly on our regulatory activities, including: ...

This regulatory guide was withdrawn on 7 March 2024.

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 ...

Released 9 April 2009. This report summarises ASIC’s fifth and sixth assessment of Bendigo Stock Exchange Limited (BSX) under s794C of the ...

This is Information Sheet 151 (INFO 151). This information sheet is for: people who report misconduct by individuals and entities we regulate ...

This regulatory guide has been withdrawn. See now RG 107 Fundraising: Facilitating electronic offers of securities.

Released 24 March 2011. Comments closed 12 May 2011. This consultation paper is for directors, professional advisers and other interested parties. ...

Released 24 April 2009. This report outlines our decisions on relief applications during the period 1 August to 30 November 2008. It summarises ...

This regulatory guide has been withdrawn: see media release and RG 148

Released 7 March 2011. Comments closed 18 April 2011. This consultation paper summarises details of the application by Financial and Energy ...

Released 20 February 2009. This report summarises ASIC’s third annual assessment of Mercari Pty Limited (Mercari) under s794C of the Corporations ...

Issued 19 February 2024 This guide is for: platform operators (including operators of investor directed portfolio services (IDPSs) and responsible ...

Released 4 March 2011. Comments closed 25 March 2011. This consultation paper sets out ASIC’s proposals for new market integrity rules ...

Released 20 February 2009. This report summarises ASIC's third assessment of IMB Limited (IMBL) under s794C and 823C of the Corporations Act 2001 ...

This regulatory guide was withdrawn on 15 August 2023.

Released 24 February 2011. Comments closed 21 April 2011. This consultation paper seeks your feedback on proposals to improve disclosure by hedge ...

Released 14 January 2009. This report summarises ASIC’s first annual assessment of The London Metal Exchange Limited (LME) under s794C of the ...

This is Information Sheet 147 (INFO 147). It is for credit rating agencies and other interested parties. It explains what information must be ...

Issued July 2012 This guide is for: advisers (i.e. Australian financial services (AFS) licensees and representatives who provide financial product ...

Released 17 November 2010. Comments closed 21 December 2010. This consultation paper seeks your feedback on proposals to improve disclosure about ...

Released 14 January 2009. This report summarises ASIC’s fourth annual assessment of Eurex Frankfurt AG (EFAG) under s794C of the Corporations Act ...

This is Information Sheet 146 (INFO 146). It sets out your credit disclosure obligations under Chapter 3 of the National Consumer Credit Protection ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Release 4 November 2010. Comments closed 21 January 2011. This consultation paper is in three parts: Part 1 outlines how we consider the ...

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 ...

This is Information Sheet 145 (INFO 145). It provides general information on our compulsory information-gathering powers. This information sheet ...

Issued 2 March 2000 This guide sets out how we will regulate mortgage investment schemes. Note: From 27 July 2020, applications for relief ...

Released 28 October 2010. Comments closed 9 December 2010. This consultation paper: sets out relief we are considering to change the time when a ...

Released 14 January 2009. This report summarises ASIC’s fifth annual assessment of Chicago Mercantile Exchange Inc. (CME) under s794C of the ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 18 October 2010. Comments closed 17 December 2010. This consultation paper sets out our proposed updates to our policies on the content ...

Released 13 November 2008. A joint report by Treasury and ASIC. This is a joint Report prepared by Treasury and the Australian Securities and ...

This is Information Sheet 143 (INFO 143). It is for credit rating agencies providing services in Australia. It gives guidance on the meaning of ...

This regulatory guide has been withdrawn. See now RG 60 Schemes of arrangement.

Released 18 October 2010. Comments closed 17 December 2010. This consultation paper sets out our proposed guidance to promote better disclosure and ...

Released 31 October 2008. This report outlines our decisions on relief applications during the period 1 April 2008 to 31 July 2008. It summarises ...

This is Information Sheet 141 (INFO 141). It is for Australian financial services (AFS) licensees and their representatives who deal in financial ...

Reissued 2 March 2000 Previous version: Superseded Policy Statement 141 [SPS 141] (issued 10 February 1999) This guide sets out when we intend to ...

Released 6 October 2010. Comments closed 26 November 2010. This consultation paper sets out our proposals for strengthening the disclosure ...

Released 9 April 2009. This report summarises ASIC’s fourth annual assessment of Bendigo StockExchange Limited (BSX) under s794C of the Corporations ...

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: ...

Released 30 September 2010. Comments closed 15 November 2010. This Consultation Paper sets out ASIC’s proposals on the financial requirements to ...

Released 30 September 2008. This report highlights the key issues that arose out of the submissions received on Consultation Paper 80 Group ...

This is Information Sheet 140 (INFO 140). It explains your options if you receive an Australian Consumer Law substantiation notice. This information ...

This regulatory guide was withdrawn on 15 August 2023. A new, single external dispute resolution (EDR) scheme – the Australian Financial Complaints ...

Released 23 September 2010. Comments closed 18 October 2010. This consultation paper sets out ASIC’s proposal for administering the compensation ...

Released 2 September 2008. This report highlights the key issues that arose out of the submissions received on Consultation Paper 100 Unlisted ...

This is Information Sheet 138 (INFO 138). As part of your annual compliance certificate, you must include a statement of personal information for any ...

Issued 21 November 2024 This guide is for foreign passport fund operators seeking to enter, or operating in, Australia under the Asia Region Funds ...

Released 17 September 2010. Comments close 11 November 2010. This consultation paper sets out ASIC’s proposals on administering the new dispute ...

Released 2 September 2008. This report highlights the key issues that arose out of the submissions received to Consultation Paper 99 Mortgage ...

Issued 31 July 2018 This guide is for responsible entities of registered managed investment schemes (registered schemes) that were registered ...

Released 18 June 2010. Comments closed 30 July 2010. This consultation paper follows Consultation Paper 1 Indirect self acquisition by investment ...

This information sheet was withdrawn on 31 May 2017. 　 INFO 137 provided guidance on transitional arrangements that ended on 2 October 2011. Guidance ...

Issued 31 July 2018 This guide is for operators of registered managed investment schemes (registered schemes) and passport funds, their service ...

Released 26 May 2010. Comments closed 21 June 2010. This consultation paper seeks feedback on a draft regulatory guide on the Markets Disciplinary ...

Released 18 August 2008. This report summarises the fourth assessment of Golden Circle Limited (GCL) by the Australian Securities and Investments ...

This is Information Sheet 136 (INFO 136). It is for holders of an Australian credit licence (credit licensees). It explains how to meet your trust ...

This is Information Sheet 135 (INFO 135). It is for credit licensees. This information sheet provides guidance on how to comply with your obligation ...

This regulatory guide was withdrawn on 15 August 2023.

Released 27 June 2010. Comments closed 9 August 2010. This consultation paper sets out our proposals for guidance on factors we will consider in ...

Released 14 August 2008. ASX Limited, ACN 008 624 691 Australian Clearing House Pty Limited, ACN 001 314 503 ASX Settlement and Transfer ...

This is Information Sheet 134 (INFO 134). This information sheet explains how to comply with your obligations if you are both: a credit licensee ...

Issued 31 October 2023 This guide is for responsible entities of registered managed investment schemes (registered schemes), corporate directors of ...

Released 19 April 2010. Comments closed 30 June 2010. This consultation paper sets out benchmarks for improved disclosure by listed and unlisted ...

Released 31 July 2008. This report gives an update on the work the Australian Securities and Investments Commission (ASIC) has done, and proposes to ...

Issued 23 June 2022 This guide is for: responsible entities of registered managed investment schemes (registered schemes); licensed providers of ...

Released 8 April 2010. Comments closed 31 May 2010. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

Released 18 July 2008. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

This information sheet (INFO 133) was withdrawn on 2 November 2021. The relevant information from INFO 133 has been incorporated into Information ...

This is Information Sheet 132 (INFO 132). As a credit licensee, you will need to have arrangements in place for compensating your clients for any ...

Issued 23 June 2022 This guide is for: responsible entities of registered managed investment schemes (registered schemes); and Australian passport ...

Released 15 March 2010. Comments closed 7 April 2010. This consultation paper sets out ASIC’s proposals on the financial resource requirements to ...

Released 26 June 2008. This is our first report presenting statistical findings from Schedule B reports lodged electronically by liquidators, ...

Issued 6 October 2022 This guide is for responsible entities of registered managed investment schemes (registered schemes), Australian passport fund ...

Released 26 February 2010. Comments closed 26 March 2010. This consultation paper sets out ASIC’s proposals for new Market Integrity Rules for ASX ...

Released 26 June 2008. This report highlights the key issues that arose out of the submissions received on Consultation Paper 96 Insurance ...

This is Information Sheet 131 (INFO 131). It is for companies limited by guarantee and explains: financial reporting obligations obligations ...

This regulatory guide has been withdrawn.

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 ...

This is Information Sheet 129 (INFO 129). Book up is a common practice in many remote and regional communities of Australia. When you offer book up, ...

Issued 30 September 2022 This guide sets out ASIC’s guidance on the regulation of business introduction or matching services that involve the offer ...

Released 21 December 2009. Comments closed 26 February 2010. This consultation paper sets out ASIC’s proposals on the disclosure requirements we ...

Released 13 June 2008. Voluntary administrators are required to prepare a report under s439A of the Corporations Act 2001 (Cth) (Corporations Act) ...

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 ...

Released 21 December 2009. Comments closed 21 February 2010. This consultation paper contains our proposals for best practice relating to the ...

Released 15 May 2008. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 91 ...

This information sheet (INFO 128) was withdrawn on 30 March 2022. It has been replaced by Information Sheet 275 Infringement notices: Your rights ...

This regulatory guide was withdrawn on 13 December 2018. The application form relief in RG 127 has been superseded by: the requirements in s1016A ...

Released 11 December 2009. Comments closed 29 March 2010. This consultation paper seeks feedback on whether or not ASIC should give a statement ...

Released 23 April 2008. This report: presents the findings of our first review into disclosures made by each of the unlisted, unrated debenture ...

This is Information Sheet 126 (INFO 126). It is for credit licensees and credit representatives. Credit representatives are authorised to engage in ...

Issued 21 November 2024 This guide is for AFS licensees and their representatives, advisers and insurers. It sets out how ASIC administers the ...

Released 7 December 2009. Comments closed 19 February 2010. This consultation paper: sets out ASIC’s proposals for relief to facilitate offers ...

Released 23 April 2008. This report summarises the findings of research conducted for ASIC about Australian investors in unlisted unrated ...

Issued 30 August 2019 This guide is for: ASX-listed companies, their advisers and investors involved in offers of shares under share purchase ...

Released 23 November 2009. Comments closed 18 December 2009. This consultation paper follows Consultation Paper 111 Compensation and financial ...

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 ...

Released 24 November 2009. Comment closed 22 January 2010. This consultation paper seeks feedback from directors, professional advisors and other ...

Released 1 April 2008. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

Released 22 October 2009. Comments closed 4 December 2009. This consultation paper sets out our proposals for strengthening the disclosure ...

Released 26 March 2008 (This report was prepared for ASIC by Chant Link & Associates and was released on 26 March 2008. See ASIC Information ...

Released 21 October 2009. Comments closed 11 December 2009. This consultation paper seeks feedback from super funds, consumers and other ...

Issued 20 September 2024 This is a guide for people or companies from outside Australia who propose to conduct a financial services business in ...

Released 13 October 2009. Comments closed 11 December 2009. This consultation paper: highlights the key issues that arose out of the ...

Released 24 April 2008. This report summarises the findings of research conducted for ASIC by Roy Morgan Research about Australian investors, ...

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

Released 1 October 2009. Comments closed 13 November 2009. This consultation paper seeks the views of existing and potential operators of ...

Released 14 March 2008. This report summarises ASIC’s first annual assessment of BGC Partners Australia Pty Limited (BGCA) under s794C of the ...

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

Released February 2006. Comment closed 28 February 2006. This consultation paper sets out a proposal to extend the circumstances in which ASIC may ...

Released 13 March 2008. An examination of refinancing in response to mortgage stress This report draws on a qualitative examination of a small number ...

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

Released 15 September 2009. Comments closed 9 November 2009. This consultation paper proposes some basic principles for the handling of rumours, ...

Released 6 March 2008. This report summarises ASIC’s fifth assessment of National Stock Exchange of Australia Limited (NSEAL) under s794C of the ...

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

Released 10 September 2009. Comments closed 22 October 2009. We are considering whether to withdraw class order relief that allows issuers to cite ...

Released 6 March 2008. This report summarises the third assessment of Golden Circle Limited (GCL) by the Australian Securities and Investments ...

This regulatory guide has been withdrawn. See now RG 132 Compliance and oversight.

Released 7 September 2009. Comments closed 19 October 2009. Revised 19 September 2013. This consultation paper sets out when we propose to advise ...

Released 6 March 2008. This report summarises the third assessment of Australia Pacific Exchange Limited (APX) by the Australian Securities and ...

Issued 19 June 2020 This guide is for certain proprietary companies and their auditors. It explains: the relief that we give to proprietary ...

Released 2 September 2009. Comments closed 28 October 2009. This paper sets out ASIC's proposals for guidance about meeting the responsible ...

Released 6 March 2008. This report summarises ASIC’s first annual assessment of Bloomberg Tradebook Australia Pty Ltd (BTA) under s794C of the ...

Released 7 August 2009. Comments closed 18 September 2009. This consultation paper seeks feedback from financial services licensees and their ...

Released 6 March 2008. This report summaries ASIC’s fourth annual assessment of Yieldbroker Pty Limited (Yieldbroker) under s794C of the ...

This is Information Sheet 113 (INFO 113). It contains a template you can use on an optional basis for preparing the summary business description ...

Released 29 July 2009. Comments closed 26 August 2009. This paper sets out ASIC's proposals about the training and competence obligations of ...

Released 19 December 2007. This report highlights the key issues that arose out of the submissions received on Consultation Paper 94 Debenture ...

This is Information Sheet 112 (INFO 112). It explains the effect of the credit licensing regime on businesses and services that provide assistance to ...

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 ...

Released 27 July 2009. Comments closed 11 September 2009. This consultation paper sets out ASIC’s proposals on administering the new dispute ...

Released 27 November 2007. This report highlights the key issues that arose out of the submissions received in response to Consultation Paper 87 ...

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 ...

Released 15 July 2009. Comments closed 12 August 2009. This consultation paper sets out ASIC’s proposals to administer the new compensation and ...

Released 23 November 2007. This is a report for participants in the capital markets and financial services industry who are prospective applicants ...

This is Information Sheet 110 (INFO 110). It outlines the requirements of lenders with carried over instruments (COI lenders) under the credit ...

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 ...

Released 15 July 2009. Comments closed 12 August 2009. This paper sets out ASIC's proposals for guidance about meeting the general conduct ...

Released 22 November 2007. This report highlights the key issues that arose out of the submissions received on Consultation Paper 88 Reviewing and ...

Released 13 July 2009. Comment closed 10 August 2009. This consultation paper sets out ASIC’s proposals on the financial resource requirements we ...

Consumer experiences with reverse mortgages Released 21 November 2007. Reverse mortgages are relatively new and complex products. This report ...

This is Information Sheet 109 (INFO 109). It provides general information on the operation of some offences under the National Consumer Credit ...

This is Information Sheet 108 (INFO 108). It is for Australian credit licensees. This information sheet provides information about the fees you will ...

Issued 18 December 2009 This guide is for persons (and their professional advisers) who want to ask the Australian Securities and Investments ...

Released 13 July 2009. Comments closed 10 August 2009. This paper sets out ASIC’s proposals on training requirements for financial advisers who ...

Released 31 October 2007. This report highlights the key issues that arose out of the submissions received to Consultation Paper 89 Unlisted, ...

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 ...

Released 3 July 2009. Comments closed 7 August 2009. In this consultation paper, we are seeking to improve disclosure of substantial holdings that ...

Released December 2006. Prepared by Melzan Pty Ltd for release with CP 87 Compensation and insurance arrangements for AFS licensees.  The Australian ...

This is Information Sheet 107 (INFO 107). It describes the guidelines that are in place to ensure that complaints about the conduct of ASIC staff ...

This regulatory guide was withdrawn on 15 August 2023.

Released 30 April 2009. Comments closed 8 June 2009. This consultation paper sets out ASIC’s proposals to grant relief from the short selling ...

Released July 2007 Prepared by CRA International for release with CP 86 Competition for market services: Trading in listed securities and related ...

Issued 23 June 2022 This is a guide for Australian financial services (AFS) licensees and AFS licence applicants. This guide describes what we look ...

Released 24 February 2009. Comments closed 30 March 2009. This consultation paper: sets out ASIC’s proposal to facilitate equity capital raisings ...

Released October 2007. This report summarises ASIC's second annual assessment of Mercari Pty Limited under s794C of the Corporations Act 2001 ...

This is Information Sheet (INFO 105). It covers frequently asked questions on consumers and credit under the National Consumer Credit Protection Act ...

Issued 23 June 2022 This is a guide for AFS licensees and licence applicants. This guide describes what we look for when we assess compliance with ...

Released 2 March 2009. Comments closed 27 April 2009. We are reviewing Regulatory Guide 162 Internet discussion sites (RG 162), which is our ...

Released October 2007. This report summarises ASIC’s second assessment of EBS Service Company Limited under s794C of the Corporations Act 2001 ...

This is Information Sheet 104 (INFO 104). It answers frequently asked questions about complying with your credit obligations under the National ...

This is Information Sheet 103 (INFO 103). It answers frequently asked questions about getting an Australian credit licence (credit licence) under the ...

Issued 27 November 1995 Updated 26 February 1996 In this guide ASIC indicates the practices it will adopt in relation to the disclosure of ...

Released 18 December 2008. Comments closed 13 February 2009. This consultation paper: sets out ASIC's proposal to increase the monetary limit for ...

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 ...

Issued 2 October 1995 This guide indicates the circumstances in which we will exercise our discretionary powers in order to facilitate the sale of ...

Released 8 September 2008. Comments closed 7 November 2008. This consultation paper sets out ASIC’s proposals for updating our policy on the dispute ...

Released 6 March 2008. This report summarises the fourth annual assessment of Chicago Mercantile Exchange Inc. (CME) by the Australian Securities ...

This is Information Sheet 101 (INFO 101). It answers frequently asked questions about the application of the National Consumer Credit Protection Act ...

Issued 15 December 2016 This guide is for responsible entities of registered managed investment schemes, including schemes that form part of a ...

Released 28 July 2008. Comment closed 31 October 2008. This consultation paper sets out issues and options in relation to the provision of ...

Released 6 March 2008. This report highlights the key issues that arose out of the submissionsreceived on Consultation Paper 94 Debenture ...

This is Information Sheet 100 (INFO 100). It is for issuers and advisers of margin lending facilities, who intend to apply for either a new ...

Issued 22 November 2021 A court enforceable undertaking is an administrative remedy for contraventions of legislation administered by ASIC. It ...

Released 8 July 2008. Comments closed 5 August 2008. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

Released September 2007. This report summarises ASIC's second assessment of IMB Limited under s794C and s823C of the Corporations Act 2001. ...

Issued 21 August 1995 Withdrawn 17 March 2016 See Consolidation of regulatory guidance on disclosure documents - March 2016    

Released 8 July 2008. Comments closed 5 August 2008. This consultation paper seeks your feedback on proposals to improve disclosure for retail ...

Released November 2007. Sydney Futures Exchange Limited (ACN 000 943 377) SFE Clearing Corporation Pty Ltd (ACN 050 615 864) Austraclear Limited ...

This is Information Sheet 99 (INFO 99). It is for credit rating agencies (CRAs) and issuers of financial products to retail and wholesale clients. It ...

Issued 17 November 2022 This guide is for AFS licensees, their representatives, and advisers. It describes the administrative powers available to ...

Facilitating access to overseas markets and financial services Released 16 June 2008. Comments closed 25 July 2008. This is a joint consultation ...

Released October 2007. This report summarises ASIC's second assessment of Golden Circle Limited under s794C of the Corporations Act 2001 ...

View table of short position reports This is Information Sheet 98 (INFO 98). It helps short sellers and systems developers to comply with and develop ...

This is Information Sheet 97 (INFO 97). It is for you if you run a small credit or finance broking business (i.e. a business with only a few ...

RG 97 provides guidance on how fees and costs should be disclosed in Product Disclosure Statements (PDSs) and periodic statements. The information in ...

Released 30 May 2008. Comments closed 15 July 2008. Consultation paper issued by Financial Services Working Group: The Treasury, Australian ...

Released September 2007. This is a report for participants in the capital markets and financial services industry who are prospective applicants for ...

Issued 13 April 2021 This guideline has been jointly produced by the Australian Competition and Consumer Commission (ACCC) and the Australian ...

Released 29 February 2008. Commentd closed 14 April 2008. This consultation paper: sets out how ASIC proposes to administer the new insurance ...

Released June 2007. This report summarises ASIC’s third assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Eurex ...

This regulatory guide was withdrawn on 21 December 2023.

Released 21 November 2007. Comments closed 29 January 2008. This paper summarises the responses to Consultation Paper 86 Competition for market ...

Released May 2007. The report covers the period beginning 1 October 2006 and ending 31 December 2006. During this period we decided 582 ...

ASIC Market Advice - 7 April 2011 This is Information Sheet 95 (INFO 95). The purpose of this document is to provide information to assist brokers ...

Issued 1 August 2008 Both APRA and ASIC have regulatory jurisdiction for aspects of the practice of life companies, superannuation providers and fund ...

Released 31 October 2007. Comment closed 30 November 2007. This consultation paper seeks feedback from issuers of debentures and publishers of ...

Released May 2007. ASX Limited ACN 008 624 691 Australian Clearing House Pty Limited ACN 001 314 503 ASX Settlement and Transfer Corporation Pty ...

This is Information Sheet 94 (INFO 94). If you are the responsible person for a Product Disclosure Statement (PDS) that is not lodged with ASIC under ...

This regulatory guide was withdrawn on 7 March 2024.

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 ...

Released March 2007. This report summarises ASIC’s third assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Chicago ...

This is Information Sheet 93 (INFO 93). It is for operators of foreign collective investment schemes (FCIS). This information sheet explains what ...

This regulatory guide was withdrawn on 7 March 2024.

Released 4 October 2007. Comments closed 31 October 2007. Joint publication with APRA. The Financial Sector Legislation Amendment (Simplifying ...

Released March 2007. This report summarises ASIC’s first assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Board of ...

This is Information Sheet 92 (INFO 92). It gives an overview of the procedures overseas regulators must go through in order to request a probity ...

This is Information Sheet 91 (INFO 91). An Australian financial services (AFS) licensee may appoint ‘authorised representatives’ to provide specified ...

Issued 31 August 2016 This guide sets out our approach to regulating horse breeding schemes and horse racing syndicates under the Corporations Act ...

Released 28 September 2007. Comments closes 7 November 2007. Recent amendments to the Corporations Act 2001 (Cth) (Corporations Act) provide an ...

Released February 2007. This report summarises ASIC’s third assessment under section 794C of the Corporations Act 2001 (the Act) of compliance by ...

Issued 7 December 2017 This guide is for Australian financial services (AFS) licensees, authorised representatives and advisers who give personal ...

Released 3 October 2008. Comments closed 5 December 2008. This paper sets out proposals for changes to the Electronic Funds Transfer (EFT) Code of ...

Released March 2007. This report summarises ASIC’s second assessment of compliance by Australia Pacific Exchange Ltd ACN 080 399 220 (APX) with its ...

This is Information Sheet 90 (INFO 90). It answers the following questions: What changes or events must be notified? When do I need to notify ...

Released 23 August 2007. Comments closed 1 October 2007. This consultation paper sets out our proposals for change in the unlisted, unrated ...

Released January 2007. In September 2005, we released a report on home building underinsurance Getting home insurance right (the 2005 report). The ...

This is Information Sheet 89 (INFO 89). It is for employers. It is also relevant for superannuation trustees, payroll providers, superannuation ...

This is Information Sheet 88 (INFO 88). If you are an Australian financial services licensee (AFS licensee) or an authoriser appointing authorised ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 31 July 2007. Comment closed 25 September 2007. This consultation paper: sets out how ASIC proposes to amend Regulatory Guide 146 ...

Released January 2007. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

This is Information Sheet 87 (INFO 87). ASIC has limited power to waive fees. We can only consider waiving a fee where there were issues beyond the ...

Reissued 28 September 2016 This guide sets out our policy on relief from the fundraising, managed investment, debenture and licensing provisions of ...

Released 23 July 2007. Comments closed 14 September 2007. This consultation paper: sets out how ASIC proposes to administer the new ...

Released November 2006. This report summaries ASIC’s third assessment of Yieldbroker Pty Limited’s (Yieldbroker) compliance by with its obligations ...

This is Information Sheet 86 (INFO 86). It explains how the Australian Prudential Regulation Authority’s (APRA) registrable superannuation entity ...

Reissued 26 June 2007 Previous version: See Superseded Policy Statement 86 [SPS 86] in the ASIC Digest This guide explains how we will exercise ...

Released 23 July 2007. Comments closed 17 August 2007. This consultation paper: deals with policy questions raised by applications for new ...

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 ...

Issued 25 March 2022 This guide provides guidance on application of the reporting entity test and the reporting obligations for non-reporting ...

Released 4 July 2007. Comments closed 6 August 2007. This consultation paper sets out our proposals to offer conditional relief from provisions of ...

Released November 2006. This report summarises ASIC’s second assessment under section 794C of the Corporations Act 2001 (Act) of compliance by ...

This is Information Sheet 85 (INFO 85). It provides creditors with information about the external administrator’s fees in a liquidation of a company, ...

This regulatory guide was withdrawn on 20 August 2013. See now INFO 182 Super switching advice: Complying with your obligations.

Released 3 July 2007. Comments closed 21 August 2007. This consultation paper sets out our proposed guidance on: what disclosures responsible ...

Released November 2006. This report is the first in a series of at least five annual reports monitoring trends in superannuation fees and costs. ...

This is Information Sheet 84 (INFO 84). It provides general information for unsecured creditors in a liquidation, voluntary administration or deed of ...

Issued 26 March 2018 This guide is for company officeholders, third parties and liquidators who want a company to be reinstated. It explains: ...

Released 20 June 2007. Comments closed 4 September 2007. We are reviewing Policy Statement 148 Investor directed portfolio services [PS 148] and ...

Released October 2006. This report details some recent work ASIC has undertaken analysing the disclosure patterns and share price performance of ...

Issued 17 December 2018 This guide is for registered liquidators appointed under Pt 5.3A of the Corporations Act as a voluntary administrator or ...

Released 30 May 2007. Comments closed 15 August 2007. This consultation paper sets out our proposals for class order relief for trustees of ...

Released September 2006. This report summarises ASIC’s fourth assessment of compliance by Stock Exchange of Newcastle Limited (SENL) with its ...

Important notice: Applications for relief are now submitted to ASIC through the ASIC Regulatory Portal. For more information see How to apply for ...

This is Information Sheet 81 (INFO 81). There are different ways you can register as a charitable or not-for-profit organisation. Before you ...

Issued 31 July 2023 This guide is for external administrators making applications under s70-35 of Sch 2 to the Corporations Act. It deals with ...

Released 7 May 2007. Comments closed 9 July 2007.\\ This consultation paper sets out our proposals to amend Policy Statement 140 Serviced strata ...

Released September 2006. The purpose of the report is to improve the level of transparency and the quality of information available about decisions ...

Issued 8 December 2016 This guide sets out our approach to the relief that we provide from the managed investment, Australian financial services ...

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 ...

Released June 2006. This report summarises ASIC’s first assessment of compliance by Mercari Pty Limited (Mercari) with its obligations under ...

This is Information Sheet 80 (INFO 80). ASIC publishes reports and statistics on a variety of corporate insolvency-related topics. This information ...

New ID requirement for directorsCompany directors are now required by law to apply for a director identification number. Find out more about ...

Issued 10 December 2012This guide is for Australian financial services licensees who are research report providers. It is directed towards providers ...

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 ...

Released August 2006. This report summarises ASIC’s fourth assessment of the compliance by Australian Clearing House Pty Limited (ACH) and the ...

This is Information Sheet 78 (INFO 78). It covers: Steps to winding up a solvent company Court involvement Winding up a company may be an option ...

Issued 19 December 2023 This guide is for Australian financial services (AFS) licensees and Australian credit licensees (credit licensees). It gives ...

Released 12 January 2007. Comments closed 30 April 2007. This consultation paper initiates the public phase of a review of the Electronic Funds ...

Released August 2006. Second report to the Financial Reporting Council on the results of ASIC's on-site inspections of audit firms. This report ...

This regulatory guide was withdrawn on 7 March 2024.

Released 19 December 2006. Comment closed 12 March 2007. This consultation paper sets out our proposed policy on on-market buy-backs of interests ...

Released July 2006. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

This is Information Sheet 76 (INFO 76). It provides guidance on what officeholders need to consider when keeping written financial records of their ...

Issued 30 March 2011 This guide sets out our guidance to promote better disclosure and governance for related party transactions. It is designed for ...

Released 23 November 2006. Comments closed 28 February 2007. We are updating Policy Statement 164 Licensing: Organisational capacities [PS 164] ...

Released June 2006. This report summarises ASIC’s fourth assessment of SFE Clearing Corporation Pty Ltd's (SFECC) and the second assessment of ...

This regulatory guide has been withdrawn. See now RG 111 Content of expert reports and RG 112 Independence of experts.

Released 23 November 2006. Comments closed 28 February 2007. We are updating Policy Statement 164 Licensing: Organisational capacities [PS 164] ...

Released June 2006. This report summarises ASIC’s fourth assessment of compliance by Sydney Futures Exchange Limited (SFE) with its obligations ...

This is Information Sheet 75 (INFO 75). It provides information for employees of companies in voluntary administration. This information sheet ...

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 ...

Released 25 May 2006. Comments closed 17 July 2006. This consultation paper sets out our proposed refinement of Summary Policy Statement 160 ...

Released June 2006. This report summarises ASIC’s second assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Eurex ...

This is Information Sheet 74 (INFO 74). It provides information for unsecured creditors of companies in voluntary administration. This information ...

This is Information Sheet 73 (INFO 73). Why do directors need a will? Difficulties can arise when an ordinary person dies without leaving a will. ...

Reissued 31 October 2017 This guide is for anyone who is subject to continuous disclosure obligations, including listed and unlisted disclosing ...

Released 19 April 2006. Comment closed 9 June 2006. This discussion paper uses hypothetical case studies illustrating real or perceived conflicts ...

Released May 2006. This report summaries Australian Securities & Investments Commission’s (ASIC) assessment under section 794C of EBS’s ...

Issued 2 September 2015 This guide is for foreign entities and their advisers involved in the offer of foreign securities to Australian investors. ...

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 ...

Released May 2006. This report summarises ASIC’s second assessment under section 794C of the Corporations Act 2001 (Act) of compliance by Chicago ...

This is Information Sheet 71 (INFO 71). It explains what you should consider when choosing a company name. You cannot register a name that is ...

Issued 24 August 2016This guide is for companies, listed managed investment schemes, investors and their advisers who are involved in, or affected ...

Released 31 August 2005. Comments closed 26 September 2005. This consultation paper sets out our proposals for conditional relief from s949A of ...

Released April 2006. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

This is Information Sheet 70 (INFO 70). If a company with share capital issues shares, they must keep a record of all the shares they've issued. This ...

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 ...

Released 23 August 2005. Comments closed 23 September 2005. This consultation paper sets out our proposals for guidance on and relief from the ...

Released February 2006. This report summarises ASIC’s assessment under s794C of IEL’s compliance with its obligations to supervise its market under ...

This is Information Sheet 69 (INFO 69). See also: Shares Reduction in share capital Share buy-back provisions were simplified in 1995 to make ...

Issued 8 February 2012 This guide is for issuers and others involved with the issue of mortgage debentures, debentures, secured notes, and unsecured ...

Released 29 July 2005. Comments closed 30 September 2005. This draft guide sets out our proposed guidelines for the use of pro forma financial ...

Released April 2006 The purpose of the survey was to assess whether the advice given to consumers after the introduction of Super Choice complied ...

This regulatory guide (RG 68) was withdrawn on 21 February 2024.

Released 4 August 2005. Comments closed 2 September 2005. This consultation paper sets out our proposals for relief from requirements under the ...

Released March 2006. This report summarises ASIC’s fourth assessment of compliance by Australian Stock Exchange Limited (ASX) with its obligations ...

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 ...

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 ...

Released January 2006. This report summarises ASIC’s assessment under s823C of the Corporations Act 2001 (Act) of the compliance by SFECC and ...

This is Information Sheet 66 (INFO 66). This guide is concerned with applications for restoration of names of registrable Australian bodies and ...

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 ...

Released 1 July 2005. Comments closed 29 July 2005. Joint publication with ACCC: see also CP 61. The Australian Competition and Consumer ...

Released January 2006. From March 2005, the Australian Securities and Investments Commission (ASIC) monitored mainstream media advertising and ...

This is Information Sheet 65 (INFO 65). It is for auditors of public companies who wish to resign from office under the Corporations Act 2001 ...

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 ...

Released 9 June 2005. Comments closed 22 July 2005. This consultation paper sets out our proposal for an exemption for credit rating agencies from ...

Released December 2005. The purpose of the report is to improve the level of transparency and the quality of information available about decisions ...

This is Information Sheet 64 (INFO 64). It is for auditors of registered scheme financial reports and compliance plans who wish to resign. It is also ...

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 ...

Released 9 June 2005. Comments closed 22 July 2005. This consultation paper sets out ASIC’s proposed policy for approving a purpose for which ...

Released December 2005. This report is an assessment of compliance by Reuters Transaction Services Limited (RTSL) with its obligations under ...

This is Information Sheet 63 (INFO 63). Replaceable rules are in the Corporations Act and are a basic guide for managing your company. If you're a ...

This regulatory guide was withdrawn on 15 August 2023.

Released 11 March 2005. Comments closed 22 April 2005. This policy proposal paper outlines our proposed policy on market   stabilisation. This ...

Released December 2005. This report gives the results of the annual monitoring of the Electronic Funds Transfer Code of Conduct (EFT Code). The ...

This is Information Sheet 62 (INFO 62). It sets out the essential six steps to follow when removing an auditor of a company under the Corporations ...

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 ...

Released 24 February 2005. Comments closed 27 April 2005. We are reviewing our policy on experts. Experts’ reports are commissioned by a person ...

Released December 2005. This report summarises ASIC’s third assessment of compliance by Sydney Futures Exchange Limited (SFE) with its obligations ...

New ID requirement for directors Company directors are now required by law to apply for a director identification number. Find out more about ...

This regulatory guide has been withdrawn (refer:13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

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 ...

Released November 2005. This report is ASIC’s first assessment of APX and describes our assessment, conclusion and key recommendations for ...

This is Information Sheet 60 (INFO 60). Some organisations, like associations, can only conduct business in their 'home' state or territory. By ...

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 ...

Released 27 January 2005. Comment closed 11 March 2005. This draft practice note sets out: how we administer the requirement for an issuer to ...

Released November 2005. In this assessment we focused on the adequacy Yieldbroker’s supervisory arrangements and its responses to the ...

Issued 21 August 1995 This guide states our views on the policy, interpretation and operation of s63 and 746. Note: From 27 July 2020, ...

Released 22 December 2004. Comments closed 25 February 2005. The financial services reform amendments to the Corporations Act 2001 (Corporations ...

Released November 2005. In the last year Australia has seen the rapid development of a range of ‘equity release’ products, where consumers can obtain ...

Issued 19 June 2020This guide is for registered foreign companies and companies in which a foreign company has an interest. It describes the relief ...

Released 23 December 2004. Comment closed 18 February 2005. Joint ASIC and APRA consultation paper. Both APRA and ASIC, who have regulatory ...

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 ...

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 ...

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 ...

Released October 2005. This report summarises ASIC’s assessment under s823C of the Corporations Act 2001 (Act) of the compliance by ACH and ASTC ...

This is Information Sheet 56 (INFO 56). It covers provisions set out in Division 1 of Part 2J.1 of the Corporations Act 2001 (the Corporations Act) ...

Issued 20 May 1996 Updated 15 July 1996, 3 March 1997, 4 August 1997, 9 February 2000 Previous version: Superseded Policy Statement 56 ...

Released 11 November 2004. Comment closed 22 December 2004. This policy proposal paper explains what class order relief we are considering for ...

Released October 2005. This report summarises ASIC’s assessment of compliance by SFE Clearing Corporation Pty Limited (SFECC) with its obligations ...

Issued 17 March 2016 This regulatory guide is for persons who prepare disclosure documents and Product Disclosure Statements (PDSs). It explains how ...

Released 8 October 2004. Comment closed 30 November 2004. This policy proposal paper outlines ASIC’s proposed new approach to the registration of ...

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 ...

This is Information Sheet 55 (INFO 55). It provides information for employees of companies in receivership. It covers: who is an employee the ...

Issued 29 June 2012 This guide sets out ASIC’s approach to recognising overseas regulatory regimes for the purpose of facilitating cross-border ...

Released 1 October 2004. Comment closed 30 November 2004. This Consultation Paper sets out proposals for ongoing class order relief from certain ...

Released September 2005. This report identifies the following reasons for consumers being underinsured: Standard home building policies in Australia ...

This is Information Sheet 54 (INFO 54). It provides information for unsecured creditors of companies in receivership. It covers: who is a creditor? ...

Issued 1 July 2003 This publication provides general guidance to the financial services industry on the appropriate use of past performance ...

Released 17 August 2004. Comment closed 17 September 2004. This Consultation Paper sets out ASIC’s proposals for ongoing relief from the ...

Released 7 September 2005. The Australian Securities and Investments Commission (ASIC) is committed to encouraging improvements in transaction fee ...

This is Information Sheet 53 (INFO 53). It provides general information for company officers about their obligations when a company is insolvent. It ...

This regulatory guide was withdrawn on 7 August 2017. See now INFO 151 ASIC's approach to enforcement.  

Released 10 August 2004. Comment closed 7 September. This policy proposal paper outlines how we propose to administer the dollar disclosure ...

Released August 2005. Section 794C of the Act requires the Australian Securities & Investments Commission (ASIC) to assess how well a licensed ...

This information sheet (INFO 52) has been withdrawn and superseded by the following new information sheets: Information Sheet 238 Whistleblower ...

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 ...

Released 16 June 2004. Comment closed 30 July 2004. This policy proposal sets out what we consider are adequate and appropriate professional ...

Released November 2005 This report provides more detail on the results of our super switching surveillance, as requested by the Parliamentary Joint ...

This is Information Sheet 50 (INFO 50). It is for directors of listed companies. It explains when and how to notify a relevant market operator about ...

This regulatory guide was withdrawn on 25 October 2023.

Released 5 April 2004. Comment closed 18 May 2004. The Corporate Law Economic Reform Program (Audit Reform and Corporate Disclosure) Bill 2003 ...

Released August 2005. We reviewed a number of adviser files and considered the compliance arrangements of some licensees. We also got statistical ...

This is Information Sheet 49 (INFO 49). A company needs to have a minimum number of directors and secretaries. Proprietary companies Public ...

11 November 2015 This guide sets out our guidance on when we will give relief from the disclosure, licensing, advertising, hawking, managed ...

Released 5 April 2004. Comment closed 18 May 2004. The Corporate Law Economic Reform Program (Audit Reform and Corporate Disclosure) Bill 2003 ...

Released July 2005. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 5 April 2004. Comment closed 18 May 2004. This policy proposal discusses: the effect of the CLERP 9 product disclosure provisions on ...

Released July 2005. Section 794C of the Act requires the Australian Securities & Investments Commission (ASIC) to assess how well a licensed ...

This is Information Sheet 47 (INFO 47). A member of a company is often called a shareholder. Members of a company have certain rights and ...

This regulatory guide has been withdrawn. See now Information Sheet 52 Public comment

Released 25 November 2003. Comment closed 6 February 2004. This policy proposal paper explains proposed case-by-case relief from the ‘associate’ ...

Released July 2005. This report is an assessment of compliance by Bendigo Stock Exchange Limited (BSX) with its obligations under s792A(c) of the ...

Issued 28 March 2012 This is a guide for responsible entities, compliance committees, compliance plan auditors and others involved with the issue of ...

(with specific guidance for providers of research reports) Released 29 October 2003. Comment closed 31 January 2004. This policy proposal paper ...

Released July 2005. This report summarises ASIC’s third assessment of compliance by Australian Stock Exchange Limited (ASX) with its obligations ...

This is Information Sheet 46 (INFO 46). It provides information for employees of companies in liquidation. It covers: who is an employee? the ...

Issued 9 May 2012This is a guide for responsible entities, compliance committees, compliance plan auditors, valuers, publishers and others involved ...

Released 30 June 2003. The aim of this discussion paper is to: share the findings of the research ASIC commissioned to identify the current ...

Released July 2005. This report outlines our assessment of Yieldbroker's compliance with its obligations under s792A(c), adequate supervision ...

This is Information Sheet 45 (INFO 45). It provides information for unsecured creditors of companies in liquidation. It covers: who is a creditor? ...

Reissued 4 November 1998 Amended 2 June 1999, 7 July 1999 This guide sets out the procedural requirements to be followed by a public company ...

Released 16 April 2003. Comment closed 22 May 2003. This policy proposal paper outlines our preliminary views on how we propose to regulate ...

Released July 2005. Section 794C of the Corporations Act requires the Australian Securities & Investments Commission (ASIC) to assess how well a ...

Issued 27 May 2011 This is a guide for companies, registered schemes or disclosing entities; their directors; and auditors. It explains how ASIC may ...

Released 20 February 2003. Comment closed 4 April 2003. We are turning Interim Policy Statement 159 Takeovers: Discretionary powers (IPS 159) into ...

Released July 2005. This report is an assessment of compliance by Golden Circle Limited (GCL) with its obligations under s792A(c) of the ...

This is Information Sheet 43 (INFO 43). It gives general information for shareholders on: liquidation voluntary administration receivership If a ...

This regulatory guide has been withdrawn. See now RG 111 Content of expert reports and RG 112 Independence of experts.

Released 3 September 2003. Comments closed 15 October 2003. These draft guidelines help product issuers meet their product disclosure statement ...

Released June 2005. Australian law imposes specific requirements on Australian financial services (AFS) licensees, including insurance brokers, to ...

Find out more about how personal bankruptcy and the liquidation of a company can interact (PDF 386 KB). This is Information Sheet 42 (INFO 42). It ...

This regulatory guide was withdrawn on 15 August 2023.

Released 19 December 2002. Comments closed 28 February 2003. Socially responsible investing (SRI) is a new and growing area of the investment ...

Released June 2005. This report summarises ASIC’s assessment of compliance by Stock Exchange of Newcastle Limited (NSX) with its obligations under ...

This is Information Sheet 41 (INFO 41). It briefly explains some of the terms you may come across in company insolvency proceedings. Please note that ...

Issued 26 June 2002 This guide is designed to promote improved disclosure of transaction fees for retail payments and deposit products (transaction ...

Released 19 December 2002. Comment closed 28 February 2003. This policy proposal paper outlines when we will use our discretionary powers to ...

Released June 2005. This report summarises ASIC’s third assessment of compliance by Sydney Futures Exchange Limited (SFE) with its obligations under ...

This regulatory guide was withdrawn on 15 August 2023.

Released 12 December 2002. Comment closed 21 February 2003. This policy proposal paper considers how certain conduct and disclosure obligations in ...

Released May 2005. The purpose of the report is to improve the level of transparency and the quality of information available about decisions we ...

This is Information Sheet 39 (INFO 39). It lists ASIC's information sheets for directors, employees, creditors and shareholders affected by a ...

Issued 23 September 2021 This guide is for people who offer financial products for issue or sale. It sets out our guidance on the hawking provisions ...

Released 21 November 2002. Comment closed 28 February 2003. This policy proposal paper outlines ASIC’s proposed approach to the regulation of ...

Released February 2005. In the later half of 2004, the Australian Securities and Investments Commission undertook a surveillance campaign focussing ...

This is Information Sheet 37 (INFO 37). Most documents need to be lodged with us within a certain timeframe. If documents are lodged outside this ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 21 November 2002. Comment closed 28 February 2003. This policy proposal paper sets out how we propose to exercise our general exemption ...

Released September 2004. Between December 2002 and July 2004, ASIC conducted verification visits on 353 Australian financial services (AFS) ...

Issued June 2016 This guide is for persons who provide financial product advice or deal in a financial product as defined in the Corporations Act ...

Released 30 September 2002. Comment closed 15 November 2002. This discussion paper: describes the aim of our project on past performance (see ...

Released December 2004. This report summarises ASIC’s assessment of compliance by Stock Exchange of Newcastle Limited (NSX) with its obligations ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 5 September 2002. Comment closed 31 October 2002. This discussion paper considers: the financial reporting and annual general meeting ...

Released December 2004. This report is an assessment of compliance by Bendigo Stock Exchange Limited (BSX) with its obligations under s792A(c) of ...

Issued 30 March 2020 This guide is for auditors, including an individual auditor, members of audit firms and audit companies. It gives guidance on ...

Released 5 September 2002. Comment closed 31 October 2002. This Policy Statement addresses the issue of ‘truth in takeovers’. It is for the ...

Released December 2004. The purpose of the report is to improve the level of transparency and the quality of information available about decisions ...

This regulatory guide was withdrawn on 15 August 2023.

Paper released 28 June 2002. Comment closed 8 August 2002. This discussion paper sets out our proposals for ongoing relief from the disclosure ...

Released November 2004. This report summarises ASIC’s assessment of compliance by the –ASX Settlement and Transfer Corporation Pty Limited and ...

New ID requirement for directors Company directors are now required by law to apply for a director identification number. Find out more about ...

This regulatory guide was withdrawn on 15 August 2023.

Paper released 21 December 2001. Comments closed 1 February 2002. This paper identifies and ask for comment about issues in the interpretation of ...

Released September 2004. This report summarises ASIC’s assessment of compliance by Australian Stock Exchange Limited (ASX) and ASX Futures Exchange ...

This regulatory guide has been withdrawn (refer: 13-148MR). See Cross-references to June 2013 takeover regulatory guidance for information about ...

Released 12 December 2001. Comment closed 18 January 2002. This policy statement gives guidance on ASIC’s current approach to the use of ...

Released July 2004. A report prepared by Chant Link & Associates. The current research for ASIC involved 10 focus groups among people who have ...

This is Information Sheet 31 (INFO 31). It explains: the types of companies that must lodge financial reports what documents must be lodged when to ...

This is Information Sheet 30 (INFO 30). It summarises the statutory fees payable for the most commonly lodged documents. It also advises the ...

Issued 12 June 2009 This guide is for companies who make use of global debentures to facilitate ‘paperless’ issues or transfers of debentures. It ...

Released 23 November 2001. Comment closed 31 December 2001. This discussion paper considers issues raised by investment funds within large ...

Released June 2004. This research report explores soft dollar benefits in the financial planning industry. We use the term ‘soft dollar’ to cover any ...

This is Information Sheet 29 (INFO 29). It outlines our expectations for forms commonly lodged with ASIC when: an external administrator ...

Reissued 26 March 2007 Previous version: Superseded Practice Note 71 [SPN 71] (issued 3 October 2001 and amended 7 May 2003). This guide refers to ...

Released 2 November 2001. Comment closed 30 November 2001. This policy proposal paper outlines ASIC’s role in, and proposed approach to, financial ...