Accountants and actuaries
RG 154 Certificate by a qualified accountant
RG 170 Prospective financial information
INFO 216 AFS licensing requirements for accountants who provide SMSF services
Authorised deposit-taking institutions
See also
Compliance with payments system codes of practice and EFT code of conduct
RG 40 ASIC’s guide to good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
RG 146 Licensing: Training of financial product advisers
RG 147 Mutuality – Financial Institutions
RG 166 Licensing: Financial requirements
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
ASIC Corporations
(Basic Deposit and General Insurance Product Distribution) Instrument 2015/682
REP 8 Inquiry into fees on electronic and telephone banking
REP 53 Good transaction fee disclosure
REP 4 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1998 to March 1999)
REP 11 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1999 to March 2000)
REP 13 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2000 to March 2001)
REP 20 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2001 to March 2002)
REP 27 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2002 to March 2003)
REP 63 Compliance with the EFT Code of Conduct (April 2003 to March 2004)
Crowd-sourced funding intermediaries
RG 262 Crowd-sourced funding: Guide for intermediaries
ASIC Corporations
(Financial Requirements for CSF Intermediaries) Instrument 2017/339
REP 544 Response to submissions on CP 288 and CP 289 on crowd-sourced funding
REP 616 Survey of crowd-sourced funding intermediaries: 2017–2018
Custodians
RG 133 Managed Investments: Scheme property arrangements
RG 149 Nominee and custody services
INFO 141 Dealing and providing a custodial or depository sevice as a secondary service
Derivative dealers and futures brokers
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
CO 12/752 Financial requriements for retail OTC derivative issuers
Factoring
ASIC Corporations (Factoring Arrangements) Instrument 2017/794
Financial advisers/planners
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 39 Licensed investment advisors – security deposits
RG 84 Super switching advice: Questions and answers
RG 90 Example Statement of Advice for a limited financial advice scenario for a new client
RG 94 Unit pricing: guide to good practice
RG 104 Licensing: Meeting your general obligations
RG 146 Licensing: Training of financial product advisers
RG 175 Licensing: Financial product advisers – conduct and disclosure
RG 179 Managed discretionary account services
RG 182 Dollar disclosure
RG 269 Approval and oversight of compliance schemes for financial advisers
INFO 202 Disputes about the financial advisers register
INFO 232 Fees for no service: Remediation
REP 18 Survey on the quality of financial planning advice—ASIC research report
REP 29 Preferential remuneration project
REP 30 Disclosure of soft dollar benefits: An ASIC research report
REP 50 Superannuation switching surveillance: An ASIC report
REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance
REP 595 Response to submissions on CP 300 Approval and oversight of compliance schemes for financial advisers
ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792
ASIC Corporations (Professional Standards—Transitional) Instrument 2018/894
Financial benchmark administrators
RG 268 Licensing regime for financial benchmark administrators
Fintech service providers
RG 257 Testing fintech products and services without holding an AFS or credit licence
REP 543 Response to feedback on REP 523 ASIC’s Innovation Hub and our approach to regulatory technology
Foreign exchange dealers
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 166 Licensing : Financial requirements
Foreign financial service providers
RG 54 Principles for cross border financial services regulation
RG 121 Doing financial services business in Australia
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
RG 178 Foreign collective investment schemes
ASIC Corporations (Foreign Securities – Incidental Advertising) Instrument 2015/360
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
ASIC Corporations
(Foreign Financial Services Providers—Limited Connection)
Instrument 2017/182
ASIC
Corporations (Repeal and Transitional) Instrument 2016/396
REP 134 Enhancing capital flows into and out of Australia
REP 519 Response to submissions on CP 268 Licensing relief for FFSPs with a limited connection to Australia
INFO 157 Practical guidance for foreign financial service providers
General insurers
ASIC
Corporations (Disclosure in Dollars) Instrument 2016/767
ASIC Corporations (Basic Deposit and General Insurance Product
Distribution) Instrument 2015/682
IDPS and IDPS-like schemes
Insurance brokers and distributors
REP 42 Insurance broker remuneration arrangements
Internet discussion sites
RG 162 Internet discussion sites
Life insurance
RG 94 Unit pricing: guide to good practice
RG 97 Disclosing fees and costs in PDSs and periodic statements
RG 139 Approval of external complaints resolution schemes
REP 10 Final report of the national life insurance disability campaign
REP 527 Response to submissions on CP 245 Retail life insurance advice reforms
REP 587 The sale of direct life insurance
REP 588 Consumers’ experiences with the sale of direct life insurance
ASIC Corporations (Life Insurance Commissions) Instrument 2017/510
Law societies
RG 144 Mortgage investment schemes
CO 03/1094 Law societies - professional indemnity scheme and fidelity funds
CO 03/1095 Law societies - statutory deposit accounts and public purpose funds
Limited AFS licensees
INFO 227 What can limited AFS licensees do?
INFO 228 Limited AFS licensees: Advice conduct and disclosure obligations
INFO 229 Limited AFS licensees: Complying with your licensing obligations
Market operators
RG 172 Australian market licences: Australian operators
RG 177 Australian market licences: Overseas operators
REP 572 Response to submissions on CP 293 Revising the market licence regime: Domestic and overseas operators
Market place lending
REP 526 Survey of marketplace lending providers
REP 617 Survey of marketplace lending providers: 2017–18
Mortgage broker
REP 19 Report into mortgage brokers
Prime brokerage services
ASIC (Amendment, Repeal and Transitional) Instrument 2017/839
Ratings agencies
RG 55 Disclosure documents and PDS: consent to quote
INFO 143 Credit rating agencies: Guidance on certain AFS licence conditions
INFO 147 Credit rating agencies: Lodging a compliance report with ASIC
REP 143 Review of credit rating agencies and research houses
REP 566 Sureveillance of credit rating agencies
Research report providers
RG 79 Managing conflicts of interest: An ASIC guide for research report providers
RG 264 Sell side research
REP 560 Response to submissions on CP 290 Sell-side research
Scheme operators
See
Managed investment schemes
Securities dealers
RG 5 Relevant interests in unissued share capital
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 148 Investor directed portfolio services
RG 150 Electronic applications and dealer personalised applications
REP 9 Online trading survey report
REP 21 Report on the review of 2001 and 2002 annual financial reports of South Australian securities dealers
Securitisation businesses
ASIC Corporations (Securitisation Special Purpose Vehicles) Instrument 2016/272
Self-dealers
ASIC Corporations(Financial Product Advice – Exempt Documents) Instrument 2016/356
Stockbrokers
RG 5 Relevant interests in unissued share capital
RG 31 Acquisitions and disposals by a broker acting as principal
Superannuation trustees and administrators
RG 84 Super switching advice: Questions and answers
RG 94 Unit pricing: guide to good practice
RG 184 Superannuation: Delivery of product disclosure for investment strategies
RG 200 Advice to super fund members
RG 229 Superannuation forecasts
ASIC Corporations (Superannuation: Accrued Default Amount and Intra-fund Transfers) Instrument 2016/64
ASIC Corporations(Superannuation: Investment Strategies) Instrument 2016/65
ASIC Corporations (Generic Calculators) Instrument 2016/207
ASIC Corporations (Superannuation and Schemes: Underlying Investments) Instrument 2016/378
ASIC Superannuation (RSE Websites) Instrument 2017/570
CO 09/210 Intra-fund superannuation advice
CO 09/437 Departed former temporary residents' superannuation - disclosure relief
CO 11/1227 Relief for providers of retirement estimates
CO 12/415 In-use notices for employer-sponsored superannuation
CO 12/749 Relief from the Shorter PDF regime
CO 13/1534 Deferral of Stronger Super amendments in relation to PDS and periodic statement disclosure
CO 14/443 Deferral of choice product dashboard and portfolio holdings disclosure regimes
INFO 90 As a superannuation trustee, do I need to notify members about member transfers without consent?
REP 378 Consumer testing of the MySuper product dashboard
REP 396 Response to submissions on CP 219 Keeping superannuation websites up to date
REP 398 Fee and cost disclosure: Superannuation and managed investment products
REP 418 Response to submissions on CP 203 Age pension estimates in superannuation forecasts: Update to RG 229
REP 455 Consumer testing of the Choice product dashboard
REP 472 Response to submissions on CP 232 Remaking ASIC class orders on superannuation
REP 529 Member experience of superannuation
REP 576 Member experiences with self-managed superannuation funds
REP 591 Insurance in superannuation
Trustees
RG 237 Trustee companies: transfer determinations by ASIC
ASIC Corporations
(Wholesale Equity Scheme Trustees) Instrument 2017/849
REP 545 Response to submissions on CP 280 ASIC class order on wholesale equity schemes
Valuers
ASIC Corporations (Real Estate Companies) Instrument 2015/1049
Wholesale providers
RG 176 Licensing: Discretionary powers — wholesale foreign financial services providers
ASIC Corporations
(Foreign Financial Services Providers—Limited Connection)
Instrument 2017/182
ASIC
Corporations (Repeal and Transitional) Instrument 2016/396
ASIC Corporations
(Wholesale Equity Scheme Trustees) Instrument 2017/849
REP 545 Response to submissions on CP 280 ASIC class order on wholesale equity schemes
