RG 78 Breach reporting by AFS licensees

Issued 30 March 2020

This guide is for Australian financial services (AFS) licensees and responsible entities. It gives guidance on your obligations under s912D of the Corporations Act to report to ASIC certain breaches of the law. Responsible entities also have an obligation under s601FC(1)(l) to report breaches.

This guide also explains how we deal with breach notifications, including taking enforcement action.

This guide does not cover certain reporting obligations: see RG 78.5.

Download RG 78 (PDF 371KB)

Last updated: 30/03/2020 12:00