Issued 30 June 2025
This guide is for:
- responsible entities of registered managed investment schemes
- corporate directors of retail corporate collective investment vehicles (retail CCIVs), and
- Australian passport fund operators.
Parts of this guide are also relevant for:
- wholesale scheme operators
- corporate directors of wholesale corporate collective investment vehicles (wholesale CCIVs)
- 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.