The regulatory index is a subject matter index that will help you find ASIC regulatory documents and legislative instruments by topic.
This regulatory index presents one pathway into ASIC's regulatory information. It should be used in conjunction with website search and navigation.
AFS licensing kit
This section contains:
Overview
RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)
RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)
RG 3 Preparing your additional proofs (AFS Licensing Kit: Part 3)
INFO 86 How do RSE and AFS licensing application processes work together (see 19-175MR)
INFO 240 AFS licence applications: Providing information for fit and proper people and certain authorisations
Treatment of lease assets (April 2021)
21-088MR ASIC allows certain AFS licensees to use lease assets to satisfy their licence financial requirements
ASIC Corporations (Licence Conditions—Treatment of Lease Assets) Instrument 2021/229
RG 166 Licensing: Financial requirements
[CO 12/752] Financial requirements for retail OTC derivative issuers
[CO 13/760] Financial requirements for responsible entities and operators of investor directed portfolio services, and
[CO 13/761] Financial requirements for custodial or depository service providers.
PF 209 Australian financial services licence conditions
REP 689 Response to submissions on CP 336 Financial requirements: Treatment of lease assets (see CP 336 and submissions; and 20-322MR)
20-158MR ASIC issues no-action position to allow right-of-use lease assets to count in satisfying AFS licensee requirements
Related information
Home > For finance professionals > AFS licensees > Applying for and managing an AFS licence > AFS licensing – more information > No-action position on right-of-use lease assets
Do you need a licence?
This section contains:
Overview
RG 36 Licensing: Financial product advice and dealing
RG 49 Employee share schemes
RG 67 Real estate companies
RG 80 Managed investment schemes – interests not for money
RG 87 Charitable Investment schemes and school enrolment deposits
RG 129 Business introduction or matching services
RG 160 Time-sharing schemes
RG 148 Investor directed portfolio services
RG 162 Internet discussion sites
RG 167 Licensing: Discretionary powers (see 19-129MR)
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
RG 236 Do I need an AFS licence to participate in carbon markets?Applying for a licence
RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)
RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)
RG 3 Preparing your additional proofs (AFS Licensing Kit: Part 3)
INFO 243 Licensing requirements for providers of funeral expenses facilities (see 20-076MR)
INFO 253 Claims handling and settling: How to comply with your AFS licence obligations (see 21-067MR)
INFO 268 FAQs: Regulation and registration of relevant providers who provide tax (financial) advice services (see 21-368MR and Financial advisers providing tax advice webpage)
ASIC (Fees—Complexity Criteria) Instrument 2018/578 (see 19-071MR)
Related information
Home > For finance professionals > AFS licensees > Do you need an AFS licence?
Regulatory index topic: Financial services - Financial services relief - licensing relief
Foreign financial services providers
20-058MR Following consultation, ASIC releases new regulatory framework for foreign financial services providers (see also 19-171MR)
- RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
- INFO 157 Foreign financial services providers: Practical guidance on transitional arrangements
- ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198
- ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199
- REP 656 Response to submissions on CP 301 and CP 315 on foreign financial services providers (see CP 301 and submissions; and CP 315 and submissions)
21-131MR ASIC extends transitional relief for foreign financial services providers following Federal Budget
- ASIC Corporations (Repeal and Transitional) Instrument 2016/396
- ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182
- ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109
Related information
Regulatory index topic: Other entities - Foreign financial services providers
Varying or a licence
RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)
Suspending a licence
Related information
Home > For finance professionals > AFS licensees > Varying or cancelling your AFS licence > Suspending your AFS licence
INFO 30 Fees for commonly lodged documents
Ceasing to be a licensee
This section contains:
Cancellation
Related information
Home > For finance professionals > AFS licensees > Varying or cancelling your AFS licence > Cancelling your AFS licence
Banning and disqualification
RG 98 Licensing: Administrative action against financial services providers
Professional standards
Related information
For finance professionals > AFS licensees > Professional standards for financial advisers
Regulatory resources > Financial services > Financial advice > Educational requirements > Financial adviser exam
