Financial service providers
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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
Banks and authorised deposit-taking institutions
APRA and ASIC commence joint administration of the new Financial Accountability Regime (23-265 MR)
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
CO 14/1262 Relief for 31 day notice term deposits
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
ASIC Corporations (Basic Deposit and General Insurance Product Distribution) Instrument 2015/682
ASIC Corporations (Approval of Variation March 2020 Banking Code of Practice) Instrument 2021/11 (see 21-003MR)
CP 310 Review of ePayments Code: Scope of the review (see 19-049MR)
REP 718 Response to submissions on CP 341 Review of the ePayments Code: Further consultation (see 21-108MR, 22-041MR and 22-152MR)
REP 761 Scam prevention, detection and response by the four major banks (see 23-101MR)
Related information
Home > For consumers > Banking
Home > Regulatory resources > Financial services > ePayments Code
Business introduction services
22-267MR ASIC remakes business introduction services relief for managed investment schemes (September 2022)
ASIC Corporations (Business Introduction Services) Instrument 2022/805
ASIC Corporations (Repeal and Transitional) Instrument 2017/186
RG 129 Business introduction or matching services (see News item 1/8/2023)
Background
19-067MR ASIC extends relief provided for business introduction services (March 2019)
22-007MR ASIC consults on proposals to remake relief for business introduction services (January 2022)
22-070MR ASIC extends relief for business introduction services (March 2022)
REP 723 Response to submissions on CP 357 Remaking relief for business introduction services (March 2022)
Buy now pay later
REP 672 Buy now pay later: An industry update (see MR 20-280)
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 (see 19-089MR)
Custodial and depository services
RG 133 Managed Investments: Scheme property arrangements
RG 149 Nominee and custody services
INFO 141 Dealing and providing a custodial or depository service as a secondary service
ASIC Corporations (Financial Requirements for Custodial or Depository Service Providers) Instrument 2023/648 (see 23-247MR, REP 166, 23-048MR, CP 367, 23-082MR and CP 369)
Dealing
RG 36 Licensing: Financial product advice and dealing
Derivative dealers and futures brokers
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
CO 12/752 Financial requirements for retail OTC derivative issuers
REP 626 Consumer detriment from OTC binary options and CFDs (see 19-220MR)
CP 322 Product intervention: OTC binary options and CFDs (see 19-220MR)
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
ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792
ASIC Corporations (Professional Standards—Transitional) Instrument 2018/894 (see 19-309MR)
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
CP 329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure (see 20-056MR)
Related information
Regulatory index topic: Types of financial service - Financial advice
Financial benchmark administrators
RG 268 Licensing regime for financial benchmark administrators
Financial counselling agencies
ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792
Fintech service providers
20-195MR ASIC issues guidance for Government’s enhanced regulatory sandbox
INFO 248 Enhanced regulatory sandbox
- Infographic - Enhanced regulatory sandbox (PDF 131 KB)
- Comparison (PDF 103 KB)
- Proof Form 000 – Financial Services (PDF 507 KB)
- Proof Form 000 Credit activities (PDF 502 KB)
Related information
Home > For business > Innovation Hub > Enhanced regulatory sandbox
Background
REP 523 ASIC’s Innovation Hub and our approach to regulatory technology (see 17-155MR)
REP 543 Response to feedback on REP 523 ASIC’s Innovation Hub and our approach to regulatory technology (see 17-315MR)
18-083MR British and Australian regulators strengthen cooperation on fintech through Enhanced Cooperation Agreement
19-108MR ASIC announces problem-solving regtech events for financial services industry
REP 653 ASIC's Regtech Initiatives 2018–19 (see 19-371MR)
REP 685 ASIC's regtech initiatives 2019-20
Foreign exchange dealers
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 166 Licensing : Financial requirements
Foreign financial service providers
ASIC Corporations (Repeal and Transitional) Instrument 2016/396 (see 23-211MR)
ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109 (see 23-211MR)
ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182 (see 23-211MR)
ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199 (see 23-211MR)
Background
20-058MR Following consultation, ASIC releases new regulatory framework for foreign financial services providers (see also 19-171MR)
21-131MR ASIC extends transitional relief for foreign financial services providers following Federal Budget
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
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
Related information
RG 121 Doing financial services business in Australia
Regulatory index topic: Other entities - Foreign financial services providers
General insurers
20-286MR Insurers urged to respond to new accounting standard
ASIC Corporations (Basic Deposit and General Insurance Product Distribution) Instrument 2015/682
ASIC Corporations (Disclosure in Dollars) Instrument 2016/767
ASIC Corporations (Cash Settlement Fact Sheet) Instrument 2022/59 (see 22-034MR)
ASIC Corporations (PDS Requirements for General Insurance Quotes) Instrument 2022/66 (see 21-301MR and 22-028MR)
ASIC Corporations (Incidental Retail cover) Instrument 2022/716 (see 22-222MR)
ASIC Corporations (Cash Settlement Fact Sheet and Confirming Transactions) Instrument 2022/809 (see 22-261MR)
ASIC Corporations (Financial Services Guides) Instrument 2022/910 (see 22-327MR)
ASIC Corporations (Confirming Transactions—Recurring Insurance Benefit Payments) 2023/438 (see 23-159MR)
REP 765 When the price is not right: Making good on insurance pricing promises (see 23-169MR)
REP 768 Navigating the storm: ASIC's review of home insurance claims (see 23-221MR)
Related information
ASIC > For consumers > Insurance
Indemnity schemes and statutory deposit accounts
ASIC Corporations (Law Societies—Fidelity and Indemnity Schemes) Instrument 2022/435
Related information
Instrument 22/0438 (ASIC Gazette A23/22)
Insurance brokers and distributors
REP 42 Insurance broker remuneration arrangements
Letter to Insurance Council of Australia regarding no-action position (PDF 134 KB) (see news item)
ASIC Corporations (Incidental Retail cover) Instrument 2022/716 (see 22-222MR)
ASIC Corporations (Confirming Transactions—Deceased Life Insurance Policyholder) Instrument 2023/437 (see 23-159MR)
ASIC Corporations (Confirming Transactions—Recurring Insurance Benefit Payments) 2023/438 (see 23-159MR)
Related information
ASIC > For consumers > Insurance
Internet discussion sites and social media influencers
RG 162 Internet discussion sites
INFO 267 Discussing financial products and services online
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
Life insurance
Public letter to CEOs of all life insurers and friendly societies (PDF 123 KB): see news item (8 December 2022)
RG 94 Unit pricing: guide to good practice
RG 97 Disclosing fees and costs in PDSs and periodic statements
INFO 218 Disputes about life insurance
ASIC Corporations (Life Insurance Commissions) Instrument 2017/510
ASIC Corporations (Cash Settlement Fact Sheet and Confirming Transactions) Instrument 2022/809 (see 22-261MR)
22-348MR ASIC calls on life insurers to review claims payment systems
22-241MR ASIC review finds room for improvement remains with life insurance claims handling
ASIC Corporations (Confirming Transactions—Deceased Life Insurance Policyholder) Instrument 2023/437 (see 23-159MR)
ASIC Corporations (Confirming Transactions—Recurring Insurance Benefit Payments) 2023/438 (see 23-159MR)
Related information
ASIC > For consumers > Insurance
Background
REP 633 Holes in the safety net: a review of TPD insurance claims
REP 696 TPD insurance: Progress made but gaps remain (see 21-195MR)
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
INFO 267 Tips for giving limited advice (see 21-325MR)
Related information
Home > For finance professionals > AFS licensees > Limited AFS licensees
London Interbank Offered Rate (LIBOR) affected entities
20-083MR Regulators release feedback on financial institutions' preparation for LIBOR transition
INFO 252 Managing conduct risk during LIBOR transition (see 20-304MR)
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
Marketplace lending
INFO 213 Marketplace lending (peer-to-peer lending) products
REP 526 Survey of marketplace lending providers
REP 617 Survey of marketplace lending providers: 2017–18
Mortgage broker
CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing (see 20-291MR)
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 compliance report with ASIC
REP 143 Review of credit rating agencies and research houses
REP 566 Surveillance of credit rating agencies
Relevant providers
INFO 268 FAQs: Relevant providers who provide tax (financial) advice services
ASIC Corporations (Registration of Relevant Providers) Instrument 2023/490
News item 2/2/2023 Financial Advisers Register now displays whether financial advisers can provide tax (financial) advice
Background
Home > For finance professionals > AFS licensees > Professional standards for financial advisers
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
Related information
Regulatory index topic: Funds management
Securities dealers
CP 319 Securities lending by agents and substantial holding disclosure (see 19-193MR)
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
Related information
Home > Regulatory resources > Superannuation funds > Guidance, relief and legislative instruments
Home > Regulatory resources > Superannuation funds > Super news and reports
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