Find a regulatory document

1682 results found
REP-530 - REPORT
REP 530 Overview of decisions on relief applications (October 2016 to March 2017)

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

REP-529 - REPORT
REP 529 Member experience of superannuation

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Last updated: 20/10/2014 12:00