ASIC Corporations (Financial Reporting by Stapled Entities) Instrument 2023/673

ASIC Corporations (Repeal) Instrument 2023/674

Allows stapled entities which are disclosing entities to present combined financial statements or consolidated financial statements of the stapled group where they have prepared combined financial statements or consolidated financial statements for a previous reporting period, notwithstanding that the entities may not meet the requirement to prepare consolidated financial statements under Accounting Standard AASB 10 Consolidated Financial Statements. The instrument also allows the stapled entities relief to continue to present their respective financial statements together in a single financial report.

Replaces [SCO 13/1050] Financial reporting by stapled entities which was due to sunset on 1 October 2023.

ASIC Credit (Amendment) Instrument 2023/675

Amends the ASIC Credit (Electronic Precontractual Disclosure) Instrument 2020/835 to extend its operation for a further 12 months pending incorporation of its relief into the primary law through the Treasury Laws Amendment (2023 Law Improvement Package No. 1) Bill 2023.

REP 772 Licensing and professional registration activities: 2023 update

Outlines ASIC’s licensing and professional registration activities, discusses new and proposed changes to processes, and notes other ASIC work that affects licensees. It also provides information and data on licensing and registration applications from the 2022–23 financial year.

ASIC Derivative Transaction Rules (Clearing) Amendment Instrument 2023/726

REP 771 Response to submissions on CP 366 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015: Second consultation

Instrument 2023/726 amends the ASIC Derivative Transaction Rules (Clearing) 2015 to remove products that reference the US dollar London Interbank Offered Rate and to add a new item in the Overnight Index Swaps class. It also removes Australian dollar denominated contracts from the Forward Rate Agreement class.

REP 771 highlights the key issues that arose out of the submissions received on Consultation Paper 366 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015: Second consultation (CP 366) and details our responses to those issues.

ASIC Corporations (Amendment) Instrument 2023/730

Amends the ASIC Corporations (Registration of Relevant Providers) Instrument 2023/490 to extend the date by which relevant providers – financial advisers who provide personal advice to retail clients on relevant financial products (including time share advisers) – must be registered. Relevant providers will now need to be registered by 1 February 2024.

ASIC Corporations (Discretions for Setting the Issue Price and Withdrawal Price of Interests in Managed Investment Schemes) Instrument 2023/693

ASIC Corporations (Amendment and Repeal) Instrument 2023/694

ASIC Corporations (Equality of Treatment Impacting on the Acquisition of Scheme Interests and CCIV Shares) Instrument 2023/697

ASIC Corporations (Repeal) Instrument 2023/698

Three remade class orders relating to:

• equal treatment relief granted to responsible entities of registered managed investment schemes and corporate directors of retail corporate collective investment vehicles (CCIVs) in various situations
• relief in relation to responsible entities setting the issue price of forfeited interests in registered schemes, and
• unit pricing discretions for registered schemes.

The remade instruments replace existing relief that was due to sunset.

Repealed:

• [SCO 13/655] Provisions about the amount of consideration to acquire interests and withdrawal amounts not covered by ASIC Corporations (Managed investment product consideration) Instrument 2015/847
• [SCO 13/656] Equality of treatment impacting on the acquisition of interests 
• [SCO 13/657] Discretions affecting the amount of consideration to acquire interests and withdrawal amounts

Amended:

• ASIC Corporations (Managed investment product consideration) Instrument 2015/847
• ASIC Corporations (Definition of Approved Foreign Market) Instrument 2017/669

CP 372 Guidance on insolvent trading safe harbour provisions: Update to RG 217

Sets out ASIC's proposals to update its guidance in Regulatory Guide 217 Duty to prevent insolvent
trading: Guide for directors (RG 217) to help directors understand and comply with their duty to prevent insolvent trading, including guidance on the operation of the safe harbour provisions.

RG 166 AFS licensing: Financial requirements (reissued)

REP 769 Response to submissions on CP 367 Remaking ASIC class orders on financial requirements

ASIC Corporations (Financial Requirements for Responsible Entities, IDPS Operators and Corporate Directors of Retail CCIVs) Instrument 2023/647

ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023/648

ASIC Corporations (Amendment and Repeal) Instrument 2023/649

ASIC Corporations (Investor Directed Portfolio Services Provided Through a Registered Managed Investment Scheme) Instrument 2023/668

ASIC Corporations (Investor Directed Portfolio Services) Instrument 2023/669

ASIC Corporations (Amendment and Repeal) Instrument 2023/670

Four remade legislative instruments and updated guidance regarding the financial resource requirements that apply to some categories of Australian financial services licensees and platforms. The remade instruments replace existing relief that was due to sunset.

Repealed:

• [SCO 13/760] Financial requirements for responsible entities and operators of investor directed portfolio services
• [SCO 13/761] Financial requirements for custodial or depository service providers
• [SCO 13/762] Investor directed portfolio services provided through a registered managed investment scheme
• [SCO 13/763] Investor directed portfolio services
• ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449

Amended: 

• ASIC Corporations (IDPS—Relevant Interests) Instrument 2015/1067
• ASIC Corporations (Managed Discretionary Account Services) Instrument 2016/968
• ASIC Corporations (Nominee and Custody Services) Instrument 2016/1156
• ASIC Corporations (Financial Requirements for CSF Intermediaries) Instrument 2017/339
• ASIC Corporations (Definition of Approved Foreign Market) Instrument 2017/669
• ASIC Corporations (Wholesale Equity Scheme Trustees) Instrument 2017/849
• ASIC (Fees—Complexity Criteria) Instrument 2018/578
• ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547
• ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198
• ASIC Corporations (Hardship Withdrawals Relief) Instrument 2020/778
• ASIC Corporations (Shorter PDS and Delivery of Accessible Financial Products Disclosure by Platform Operators and Superannuation Trustees) Instrument 2022/497
• ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705

REP 770 Design and distribution obligations: Retail OTC derivatives 

RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors (Note added only)

Outlines how issuers of retail OTC derivatives have responded to the introduction of design and distribution obligations (DDO) and highlights areas for improvement.

ASIC Market Integrity Rules (Securities Markets) Determination 2023/707

ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2023/708

Maintains ASIC's policy of determining the allocation of Equity Market Products to tiers.

Replaces ASIC Market Integrity Rules (Securities Markets) Determination 2023/450 (repealed 6 October 2023).

ASIC Corporations (Amendment) Instrument 2023/706

Amends ASIC Corporations (Design and Distribution Obligations Interim Measures) Instrument 2021/784 so that it repeals on 5 October 2028 and no longer applies an exemption to cashless welfare arrangements.

ASIC Corporations (Amendment) Instrument 2023/504

Introduces conditional time-limited exemptive relief in new section 13B (Exemption 11) of the ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844. Broadly, Exemption 11 exempts reporting entities from reporting certain items of derivative trade data under the ASIC Derivative Transaction Rules (Reporting) 2022 that will not be required to be reported from the commencement of the ASIC Derivative Transaction Rules (Reporting) 2024.

ASIC-RBA joint letter to ASX Clear and ASX Settlement CS Advisory Group (PDF 91 KB) 

Requires ASX Clear and ASX Settlement to resource, consult and engage with the newly established ASX Cash Equities Clearing and Settlement Advisory Group in good faith and in the public interest.

ASIC Regulated Foreign Markets Determination 2023/346

ASIC Derivative Transaction Rules (Reporting) Determination 2023/679

Determines the financial markets that are Regulated Foreign Markets for the purposes of subrule 1.2.4(3) of the ASIC Derivative Transaction Rules (Reporting) 2022 and the ASIC Derivative Transaction Rules (Reporting) 2024 and other rules relating to derivative transaction reporting.

ASIC Corporate Plan 2023-27 (Focus 2023-24)

Outlines ASIC's strategic priorities for the next four years and its plan of action for the year ahead.

ASIC focuses on protecting vulnerable consumers and small businesses in 23-24 (23-230MR)

REP 768 Navigating the storm: ASIC's review of home insurance claims

Outlines ASIC’s work to better understand the consumer experience in home insurance claims since 1 January 2022, when claims handling and settling became a regulated financial service.

ASIC review finds insurers can and should improve claims handling (23-221MR)

CP 371 Product intervention orders: Short term credit facilities and continuing credit contracts

Sets out ASIC’s proposals to extend the product intervention orders relating to short term credit facilities and continuing credit contracts which came into effect on Friday 15 July 2022, so that they remain in force until they are revoked or sunset. 

ASIC consults on proposals to extend its short term credit and continuing credit contracts product intervention orders (23-214MR)

ASIC Corporations (Amendment) Instrument 2023/588

Extends for a further 12 months the transitional relief for foreign financial services providers (FFSPs) from the requirement to hold an Australian financial services (AFS) licence when providing financial services to Australian wholesale clients.

Amended:

• ASIC Corporations (Repeal and Transitional) Instrument 2016/396
• ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109
• ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182
• ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199

ASIC extends transitional relief for foreign financial services providers (23-211MR)

REP 767 ASIC enforcement and regulatory update: April to June 2023

Provides an overview of ASIC’s work and key matters between 1 April and 30 June 2023, delivering against ASIC's strategic and enforcement priorities.

ASIC warns of further action against market misconduct (23-202MR)

Summary of enforcement outcomes: 1 January 2023 to 30 June 2023

INFO 151 ASIC’s approach to enforcement (reissued)

Technical amendments relating to how ASIC interacts with those whose conduct we are investigating.

RG 26 Resignation, removal and replacement of auditors (updated)

RG 81 External administration: Early destruction of books (reissued)

RG 129 Business introduction or matching services (updated)

INFO 29 External administration, controller appointments and schemes of arrangement: Most commonly lodged forms (reissued)

INFO 30 Fees for commonly lodged documents (reissued)

INFO 62 Removal of an auditor of a company (reissued)

INFO 65 Resignation of an auditor of a public company (reissued)

Technical updates to reflect new transactions that can be submitted via the ASIC Regulatory Portal.

RG 175 Licensing: Financial product advisers—Conduct and disclosure (updated)

Information relating to to the provision of tax (financial) advice services updated at RG 175.389-RG 175.395.

Letter to Insurance Council of Australia (PDF 260 KB)

Letter to Council of Australian Life Insurers (PDF 260 KB)

Letter to Financial Services Council (PDF 260 KB)

Outlines ASIC’s findings from its review of over 100 Target Market Determinations (TMDs) for general and life insurance products, and how insurers could make improvements to their TMDs.

ASIC review of insurance target market determinations (news item)

ASIC issues first stop order for a life insurance product (23-192MR)

REP 766 Implementation of the retirement income covenant: Findings from the APRA and ASIC thematic review

Sets out the findings of a recent thematic review of the implementation of the retirement income covenant by a sample of Registrable Superannuation Entity (RSE) licensees undertaken jointly by the Australian Prudential Regulation Authority (APRA) and ASIC.

RG 73 Continuous disclosure obligations: Infringement notices (updated)

Information on maximum pecuniary penalties in RG 73.32(a) updated.

ASIC (Amendment) Instrument 2023/0558

Amends ASIC (Senior Staff Members—Determination) Instrument 2019/117 to amend the definition of ‘senior staff members’ to reflect an organisational restructure at ASIC.

INFO 9 ASIC decisions: Your rights (reissued)

INFO 107 Guidelines for managing complaints about ASIC officers (reissued)

INFO 153 How ASIC deals with reports of misconduct (reissued)

INFO 207 Disputes about commercial loans (reissued)

INFO 238 Whistleblower rights and protections (reissued)

INFO 239 How ASIC handles whistleblower reports (reissued)

Reissued to explain how new automated responses will provide a more consistent and transparent experience for members of the public making reports of misconduct, while enabling ASIC to focus its resources on matters of greatest public interest.

Minor technical updates have also been made to INFO 45, INFO 46, INFO 54, INFO 55, INFO 74, INFO 75, INFO 84, INFO 85, INFO 151 and INFO 152 to reflect these changes.

ASIC Corporations and Superannuation (Amendment) Instrument 2023/512

INFO 256 FAQs: Ongoing fee arrangements (updated)

INFO 280 FAQs: Non-ongoing fee consents (new)

ASIC Instrument 2023/512 modifies the operation of ASIC Corporations (Consent to Deductions—Ongoing Fee Arrangements) Instrument 2021/124 and ASIC Superannuation (Consent to Pass on Costs of Providing Advice) Instrument 2021/126 to clarify the requirements for giving consent to ongoing and non-ongoing fee arrangements.

INFO 256: Updated with some minor and technical amendments related to change in client name or change of fee recipient flowing from ASIC Corporations and Superannuation (Amendment) Instrument 2023/512.

INFO 280: Answers frequently asked questions for financial product advice providers who need to get a superannuation fund member’s consent to charge non-ongoing fees to their superannuation account. Also addresses some minor and technical amendments related to change in member name or change of adviser flowing from ASIC Corporations and Superannuation (Amendment) Instrument 2023/512. Replaces and updates the web page on ‘FAQs: Non-ongoing fee consents’ that was previously published on ASIC’s website.

ASIC (Amendment) Instrument 2023/0470

Amends the ASIC (Senior Staff Members—Determination) Instrument 2019/117 to amend the definition of ‘senior staff members’ to reflect an organisational restructure at ASIC.

2022-23 Cost Recovery Implementation Statement

Details ASIC’s estimated levies by industry sector and subsector for 2022-23 as required under the industry funding model.

REP 765 When the price is not right: Making good on insurance pricing promises

Explains how failures by general insurers to manage non-financial risk have led to significant consumer harm. It also flags significant conduct issues being addressed by ASIC. The report outlines pricing failures identified by general insurers after an ASIC-initiated review of their pricing practices, and the improvements required to fix them. It confirms the standards general insurers need to meet in designing and promoting pricing promises to ensure consumers get the full benefit of any discounts promised.

ASIC Corporations (Registration of Relevant Providers) Instrument 2023/490

Delays the requirement for relevant providers to be registered with ASIC as a precondition for providing personal advice to retail clients until 1 October 2023.

CP 370 Proposed remake of the ASIC Derivative Trade Repository Rules 2013

Sets out ASIC's proposals to remake the ASIC Derivative Trade Repository Rules 2013, in substantially the same form, under s903A of the Corporations Act.

ASIC Corporations (Confirming Transactions—Deceased Life Insurance Policyholder) Instrument 2023/437

ASIC Corporations (Confirming Transactions—Recurring Insurance Benefit Payments) 2023/438

Modifies the application of section 1017F of the Corporations Act to provide that confirmation of transactions is not required to be given to the life insurance policyholder if the policyholder is deceased.

Exempts certain responsible persons from having to comply with subsection 1017F(5) of the Corporations Act for a transaction that is a payment under a recurring benefit claim.

INFO 80 How to interpret ASIC's corporate insolvency statistics (reissued)

Updated to account for the introduction of new statistical Series 5 - Members voluntary liquidation (winding up of solvent companies).

ASIC Market Integrity Rules (Securities Markets) Determination 2023/450

ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2023/451

Maintains ASIC's policy of determining the allocation of Equity Market Products to Tier 1 and Tier 2, commencing 10 July 2023.

Replaces ASIC Market Integrity Rules (Securities Markets) Determination 2023/157 (repealed 10 July 2023).

ASIC Corporations (Amendment) Instrument 2023/368

Amends the Corporations (CS Facility Exemption) Instrument 2023/18 to extend its operation until 1 August 2023.

ASIC Corporations (CG HoldCo Pty Ltd Employee Share Scheme Disclosure) Instrument 2023/354

Notionally modifies s1100X of the Corporations Act to permit a new holding company, CG HoldCo Pty Ltd, to provide a subsidiary's balance sheet and P&L for the most recent financial year together with pro-forma information that explains the effect of CG HoldCo Pty Ltd's acquisition of the subsidiary.

INFO 279 Serving legal documents on ASIC (new)

Explains how to serve legal documents on ASIC providing guidance on how to serve legal documents electronically, what to do if you can’t serve documents electronically and what kinds of documents should not be served electronically.

Replaces RG 18 Serving legal documents on the ASC which has been withdrawn.

REP 764 ASIC enforcement and regulatory update: January to March 2023

Provides an overview of ASIC’s work and key matters between 1 January and 31 March 2023.

ASIC sharpens focus on credit and debt management (23-122MR)

REP 763 ASIC’s recent greenwashing interventions

Outlines ASIC regulatory interventions made between 1 July 2022 and 31 March 2023 in relation to greenwashing concerns.

Update on ASIC’s recent greenwashing actions (23-121MR)

ASIC and greenwashing antidotes (speech)

IDR data reporting handbook (PDF 1.4 MB - reissued)

ASIC Corporations (Amendment) Instrument 2023/282

Updates the implementation timeframe for the new internal dispute resolution (IDR) reporting framework.

Amended: ASIC Corporations (Internal Dispute Resolution Data Reporting) Instrument 2022/205

ASIC updates the implementation timeframe for the internal dispute resolution data reporting framework (23-117MR)

IDR data reporting handbook: Overview of changes between March 2022 and April 2023 (PDF 336 KB)

Updates to ensure currency.

Summarises ASIC's key observations from an initial, risk-based review on how issuers of investment products are meeting their design and distribution obligations (DDOs) and highlights areas for improvement.

ASIC calls on investment product issuers to ‘lift their game’ on design and distribution obligations (23-115MR)

Updated to clarify existing guidance and provide new guidance in response to operational issues that have arisen since the implementation of the reportable situations regime on 1 October 2021 (formerly breach reporting).

ASIC releases updated guidance for licensees on reportable situations (23-106MR)

Provides an analysis of ASIC's review of the current scam related activities of the four major Australian banks.

ASIC calls for improved approaches to scams as major bank customers report over $550 million in scam losses (23-101MR)

Amends ASIC exemption instruments to refer to the 2022 Transaction Reporting Rules (TRRs), extends time-limited exemptive relief, broadens the jurisdictional scope of exemptive relief for reporting of trade identifiers and repeals exemptive relief that has either expired or will be included in the 2024 TRRs.

Amended:

• ASIC Derivative Transaction Rules (Nexus Derivatives) Class Exemption 2015
• ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844
• ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2016/0688
  ASIC Derivative Transaction Rules (ADI Foreign Subsidiaries) Class Exemption 2021/51

Repealed:

• Instrument [14/0234]
• Instrument [14/0633]
• ASIC Derivative Transaction Rules (ADI Foreign Subsidiaries) Class Exemption 2021/51 (21/10/2024)
• ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2016/0688 (21/10/2024)

Repeals ASIC Class Order [CO 12/1687] Competency standards for approved SMSF auditors.

Repeals three legislative instruments because the relief has been incorporated into the Corporations Regulations 2001:

Repealed:

• ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792
• ASIC Credit (Financial Counselling Agencies) Instrument 2017/793
• ASIC Corporations (Commonwealth Financial Counselling—Financial Capability Services) Instrument 2022/221

Technical amendments to include guidance about 'provisional relevant providers'.

Provides an exemption from the design and distribution obligations (DDOs) in Part 7.8A of the Corporations Act for a non-cash payment facility issued as part of the Australian Central Bank Digital Currency Pilot Project.

Consolidates superannuation trustee transparency and disclosure obligations into one webpage with links.

Guidance reissued to refer to all legislation that enables ASIC to issue Infringement Notices, to explain more about the circumstances in which ASIC is more likely to issue Infringement Notices and otherwise align with other ASIC guidance such as INFO 151 ASIC’s approach to enforcement.

Replaces INFO 128 Credit infringement notices: Your rights and INFO 139 ASIC Act infringement notices: Your rights which have been withdrawn.

Updates to outdated references in guidance on directors' solvency statements.

Seeks feedback from the investment management sector on ASIC's proposals to remake, without significant changes, the following ASIC class orders, which are due to expire on 1 October 2023:

• [CO 13/762] Investor directed portfolio services provided through a registered managed investment scheme
• [CO 13/763] Investor directed portfolio services.

ASIC consults on remaking ‘sunsetting’ class orders on IDPS and IDPS-like schemes (23-082MR)

Examines progress by superannuation trustees to improve their arrangements for life insurance in superannuation.

Superannuation trustees urged to improve insurance outcomes for members (22-076MR)

REP 759 Response to submissions on CP 364 Modifications to the ESS regime

ASIC Corporations (Amendment) Instrument 2023/160

Highlights the key issues that arose out of the submissions received on Consultation Paper 364 Modifications to the ESS regime (CP 364) and explains ASIC’s response to those issues.

Amended:

• ASIC Class Order [CO 13/761] Financial requirements for custodial or depository service providers
• ASIC Corporations (Financial Requirements for CSF Intermediaries) Instrument 2017/339 
• ASIC Corporations (Definition of Approved Foreign Market) Instrument 2017/669

CP 368 Remaking ASIC class orders: [CO 13/519] and [CO 13/656] 

Seeks feedback from responsible entities of managed investment schemes and corporate directors of corporate collective investment vehicles (CCIVs) on proposals to remake the following ‘sunsetting’ ASIC class orders: 

• [CO 13/519] Changing the responsible entity
• [CO 13/656] Equality of treatment impacting on the acquisition of interests

ASIC Corporations (Relevant interests, ASIC and ASIC Chairperson) Instrument 2023/194

ASIC Corporations (Repeal) Instrument 2023/195

Limits the circumstances in which ASIC will have a relevant interest in securities to circumstances where the securities are vested in, or held by, ASIC or the Commonwealth.

Repealed: ASIC Class Order [CO 12/1209] Relevant interests, ASIC and ASIC Chairperson

ASIC Corporations (Design and Distribution Obligations—Reissued Life Policies Class Exemption) Instrument 2023/183

Provides relief from the Design and Distribution Obligations (DDOs) for reissued life policies in situations where they were not intended to apply, correct administrative errors or reinstate policies that have lapsed for non-payment of premiums

INFO 29 External administration, controller appointments and schemes of arrangement: Most commonly lodged forms (reissued)

Minor technical updates to Flowcharts 1, 3, 8, 9-11 and 15 to ensure currency. 

ASIC Market Integrity Rules (Securities Markets) Determination 2023/157

ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2023/158

Maintains ASIC's policy of determining the allocation of Equity Market Products to tiers, commencing 11 April 2023.

Replaces ASIC Market Integrity Rules (Securities Markets) Determination 2022/994 (repealed 11 April 2023).

CP 367 Remaking ASIC class orders on financial requirements: [CO 13/760], [CO 13/761] and ASIC Instrument 2022/449

Sets out ASIC’s proposals to remake the following ASIC legislative instruments on financial resource requirements for some categories of Australian financial services licensees which are due expire (‘sunset’) if not remade:

• [CO 13/760] Financial requirements for responsible entities and operators of investor directed portfolio services 
• [CO 13/761] Financial requirements for custodial or depository service providers
• ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449

REP 758 Good practices for handling whistleblower disclosures

ASIC Stapling Relief (Stara Venu CCIV) Instrument 2023/124

INFO 155 Complying with requirements for superannuation products, simple managed investment schemes and simple sub-fund products (reissued)

Corporations (CS Facility Exemption) Instrument 2023/18

Notices to ASX Licensees under sections 794B and 823B of the Corporations Act (PDF)

Further ASIC regulatory response on CHESS Replacement and ASX’s program capabilities (23-035MR)

REP 757 ASIC enforcement and regulatory update: October to December 2022

ASIC to expand enforcement focus areas in the coming year (23-026MR)

Summary of enforcement outcomes: July to December 2022

CP 366 Proposed amendments to the ASIC Derivative Transaction Rules (Clearing) 2015: Second consultation

ASIC’s Indigenous Financial Services Framework

RG 249 Derivative trade repositories (reissued)

RG 251 Derivative transaction reporting (reissued)

Issued 25/1/2023

Registered 30/1/2023

Effective 31/1/2023 (day after registration)

ASIC Corporations (Amendment) Instrument 2023/24