Financial services
Other regulatory index topics | About the regulatory index
See also
Home > For finance professionals > AFS licensees
Home > Regulatory resources > Financial services
Home > For finance professionals > Credit licensees
Home > Regulatory resources > Credit
Jump to
See Financial Services topic pages
Superannuation and retirement savings accounts
Getting a financial services licence
Ceasing to be a licensee or authorised representative
Financial Services Royal Commission: Summary of ASIC enforcement action
ASIC's responses to COVID-19
ASIC website resources
- COVID-19 information for financial advisers and advice licensees: FAQs
- COVID-19 regulatory information
- Changes to regulatory work and priorities in response to COVID-19
- New and updated regulatory documents
Financial advice relief
21-269MR ASIC further extends temporary financial advice relief measures in COVID 19 instrument
See
INFO 262 FAQs: COVID-19 information for advice licensees and financial advisers
ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2021/268
See also
21-072MR, 20-085MR, 20-135MR, 20-220MR and 21-294MR
Example Record of Advice (ROA): COVID-19 relief measure (PDF 660 KB): see 21-072MR (Editor's note)
ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2020/355 (repealed)
Other relief
ASIC Corporations (COVID-19 — Distribution of Debit Cards) Instrument 2020/401
ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547 (see 20-075MR, 20-135MR and 20-220MR)
No action position for superannuation trustees (see 20-220MR)
ASIC Corporations (Approval of Variation of March 2020 Banking Code of Practice) Instrument 2020/602 (see 20-148MR)
News
ASIC and APRA letter to superannuation trustees on impact of COVID-19 (PDF 87 KB) (see article 1/4/2020)
ASIC letter - Unlicensed financial advice by real estate agents to tenants (PDF 126 KB) (see article 3/4/2020)
ASIC letter to general insurers in the current COVID-19 environment (PDF 153 KB) (see news item 27/4/2020)
ASIC letter to life insurers in the current COVID-19 environment (PDF 120 KB) (see news item 27/4/2020)
Retail investor trading during COVID-19 volatility (PDF 530 KB) (see 20-102MR)
FINSIA – The regulators: Priorities updated (speech 21/5/2020)
Select Committee on COVID-19 – Opening statement (speech 28/5/2020)
Scam alert: fake endorsements misleading investors (news item 12/6/2020)
COVID-19: what to do if your SME is struggling financially (news item 22/6/2020)
End of COVID-19 deferrals and payments (article 23/6/2020)
Rise in investment scams during COVID-19 pandemic (news item 26/6/2020)
The role of super funds during COVID-19 (article 3/7/2020)
Parliamentary Joint Committee on Corporations and Financial Services - Opening statement (speech 15/7/2020)
ASIC’s role in ensuring confidence is maintained in the financial system (Statement to House of Representatives Standing Committee on Economics, Parliament House: see news item 5/8/2020)
Information for consumers during COVID-19 (news item originally published 1/4/2020, republished 11/9/2020)
Advertising financial products and services: obligations and ASIC’s expectations (news item originally published 18/6/2020, republished 15/9/2020)
ASIC issues no-action position in relation to ongoing fee arrangement obligations for Victorian financial advice businesses (article 24/9/2020)
ASIC letter to insurers, Lloyd’s coverholders and brokers (PDF 153 KB) (see news item 16/10/2020)
Regulatory Update (speech 26/10/2020)
2020 in review and COVID-19 recovery (speech 13/11/2020)
Getting on with it (speech 18/11/2020)
ASIC’s expectations for protecting vulnerable customers (speech 26/11/2020)
2020 update on APRA-ASIC engagement (see news item 22/12/2020)
Letter to Insurance Council of Australia regarding no-action position (PDF 134 KB) (see news item 14/1/2021)
REP 685 ASIC’s regtech initiatives 2019–20 (20/1/2021)
Conversation with ASIC: AFIA Risk Summit (speech 16/2/2021)
Regulation for recovery: when pilots become enduring practice (speech 10/3/2021)
Financial scams double in 2021: reporting up more than 200% (news item 12/3/2021)
Review of how superannuation trustees supported their members during COVID-19 (news article 22/3/2021)
ASIC sets expectations of life and general insurers following a review of insurers’ responses to consumers experiencing financial hardship during the COVID-19 pandemic (news item 22/4/2021)
REP 690 ASIC quarterly update January to March 2021 (see 21-095MR 6/5/2021)
Senate Economics Legislation Committee - Opening statement (speech 2/6/2021)
Parliamentary Joint Committee on Corporations and Financial Services - Opening statement (speech 18/6/2021)
Chair Joe Longo outlines agenda (article 30/7/2021)
REP 697 ASIC quarterly update April to June 2021 (see 21-201MR 3/8/2021)
21-205MR ASIC reviews the first round of super fund annual members’ meetings (6/8/2021)
21-213MR ASIC’s approach to new laws reforming financial services sector (12/8/2021)
REP 716 Cyber resilience of firms in Australia’s financial markets: 2020–21 (see 21-331MR 6/12/2021)
ASIC enforcement outcomes
See
Home > About ASIC > ASIC investigations and enfocement > ASIC enforcement outcomes