RG 132 Funds management: Compliance and oversight
Issued 31 July 2018
This guide is for:
- responsible entities of registered managed investment schemes (registered schemes); and
- Australian passport fund operators.
Parts of this guide are also relevant for:
- wholesale managed investment scheme operators;
- investor directed portfolio service (IDPS) operators; and
- managed discretionary account (MDA) providers.
Aspects of this guide are also relevant to those with oversight responsibilities, including compliance committees, independent oversight entities, compliance plan auditors and annual implementation reviewers.
It gives guidance on the compliance and oversight obligations these entities must meet under the Corporations Act and other legal obligations.