Product disclosure

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Overview

RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)

RG 219 Non-standard margin lending facilities: Disclosure to investors

RG 221 Facilitating online financial services disclosures

CP 329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure (see 20-056MR)

REP 636 Compliance with the fee disclosure statement and renewal notice obligations (see 19-325MR)

19-279MR ASIC 'calls time' on disclosure reliance

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Annual reports

CO 02/1071 Clarification of Corporations Regulation 10.2.74

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Application forms

ASIC Corporations (Application Form Requirements) Instrument 2017/241

ASIC Corporations (Superannuation: Accrued Default Amount and Intra-Fund Transfers) Instrument 2016/64

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Confirmation of transaction

ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211

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Cooling off

RG 160 Time-sharing schemes

ASIC Corporations (Superannuation: Accrued Default Amount and Intra-Fund Transfers) Instrument 2016/64

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Dispute resolution

See

Regulatory index topic: Financial services - Ongoing licencee obligations - Dispute resolution

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Dollar disclosure

RG 182 Dollar disclosure

REP 30 Disclosure of soft dollar benefits: An ASIC research report

ASIC Corporations (Disclosure in Dollars) Instrument 2016/767

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Environmental, social and ethical factors

RG 65 Section 1013DA disclosure guidelines

RG 175 Licensing: Financial product advisers - Conduct and disclosure

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Fees and remuneration

RG 40 ASIC’s guide to good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)

RG 97 Disclosing fees and costs in PDSs and periodic statements (see 19-328MR; Instrument 2019/1070; REP 637; CP 308 and submissions; and REP 638)

RG 175 Licensing: Financial product advisers - Conduct and disclosure

RG 181 Licensing: Managing conflicts of interest

RG 182 Dollar disclosure

RG 245 Fee disclosure statements

RG 246 Conflicted remuneration

CO 14/1252 Technical modifications to Schedule 10 of the Corporations Regulations (see 19-149MR and 19-328MR)

ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070 (see 19-328MR; RG 97; REP 637; CP 308 and submissions; and REP 638)

CP 329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure (see 20-056MR)

REP 8 Inquiry into fees on electronic and telephone banking

REP 16 Disclosure of fees and charges in managed investments, review of current Australian requirements and options for reform (Ramsay report)

REP 23 A model for fee disclosure in product disclosure statements for investments products—An ASIC report

REP 29 Preferential remuneration project

REP 30 Disclosure of soft dollar benefits: An ASIC research report

REP 42 Insurance broker remuneration arrangements

REP 53 Good transaction fee disclosure

REP 398 Fee and cost disclosure: Superannuation and managed investment products

REP 457 Response to submissions on draft Regulatory Guide 97 Disclosing fees and costs in PDSs and periodic statements

REP 581 Review of ASIC Regulatory Guide 97: Disclosing fees and costs in PDSs and periodic statements

REP 637 Response to submissions on CP 308 Review of Regulatory Guide 97 (see CP 308 and submissions and 19-328MR)

REP 638 Consumer testing of the fees and costs tools for superannuation and managed investment schemes

Ongoing fee arrangements

21-134MR ASIC releases guidance on ongoing fee arrangements

See

INFO 256 FAQs: Ongoing fee arrangements

RG 175 Licensing: Financial product advisers—Conduct and disclosure

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125

CP 332 Promoting access to affordable advice for consumers

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Market announcements

ASIC Corporations (Market Research and Roadshows) Instrument 2016/79

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Multi-issuer

SCO 03/876 Multi-issuer product disclosure statements

ASIC Corporations (Joint Product Disclosure Statements) 2016/1056

SCO 06/682 Multiple derivative issuers

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Periodic statements

RG 97 Disclosing fees and costs in PDSs and periodic statements

ASIC Corporations (Deposit Product Disclosure) Instrument 2015/683

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Product disclosure statements

Regulatory guides

RG 55 Disclosure documents and PDS: consent to quote

RG 66 Transaction-specific disclosure for PDSs

RG 97 Disclosing fees and costs in PDSs and periodic statements

RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)

RG 179 Managed discretionary account services

RG 184 Superannuation: Delivery of product disclosure for investment strategies

RG 221 Facilitating online financial services disclosures

RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors

RG 240 Hedge funds: Improving disclosure

Legislative instruments

CO 12/415 In-use notices for employer-sponsored superannuation

CO 12/749 Relief from the Shorter PDF regime

CO 12/1482 When debentures can be called secured notes

See

21-156MR ASIC consults on remaking class order regarding when debentures can be called secured notes 

CP 344 Remaking ASIC class order on when debentures can be called secured notes: [CO 12/1482] (released 1/7/2021; submissions close 29/7/2021)

CO 13/1534 Deferral of Stronger Super amendments in relation to PDS and periodic statement disclosure (see 19-081MR)

CO 14/443 Deferral of choice product dashboard and portfolio holdings disclosure regimes (see 19-081MR)

CO 14/1252 Technical modifications to Schedule 10 of the Corporations Regulations

ASIC Corporations (Foreign Scrip Bids) Instrument 2015/357

ASIC Corporations (Compromises or Arrangements) Instrument 2015/358

ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647

ASIC Corporations (Deposit Product Disclosure) Instrument 2015/683

ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649

ASIC Corporations (Superannuation: Investment Strategies) Instrument 2016/65

ASIC Corporations (Consents to Statements) Instrument 2016/72

ASIC Corporations (Top-up Product Disclosure Statements Relief) Instrument 2016/1054

ASIC Corporations (Updated Product Disclosure Statements) Instrument 2016/1055

ASIC Corporations (Joint Product Disclosure Statements) Instrument 2016/1056

ASIC Superannuation (RSE Websites) Instrument 2017/570

ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070 (see 19-328MR; REP 637; CP 308 and submissions; and REP 638)

Information sheets

INFO 94 Notification requirements for Product Disclosure Statements

INFO 133 Shorter and simpler PDSs: Superannuation, managed investment schemes and margin lending

INFO 155 Shorter PDSs: Complying with requirements for superannuation products and simple managed investment schemes

Reports

REP 23 A model for fee disclosure in product disclosure statements for investments products - an ASIC report

REP 396 Response to submissions on CP 219 Keeping superannuation websites up to date

REP 457 Response to submissions on draft Regulatory Guide 97 Disclosing fees and costs in PDSs and periodic statements

REP 472 Response to submissions on CP 232 Remaking ASIC class orders on
superannuation

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Prospectuses

RG 228 Prospectuses: Effective disclosure for retail investors

See also proposed guidance and relief

21-156MR ASIC consults on remaking class order regarding when debentures can be called secured notes 

CP 344 Remaking ASIC class order on when debentures can be called secured notes: [CO 12/1482] (released 1/7/2021; submissions close 29/7/2021)

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On-sales

ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886

ASIC Corporations (Sale Offers That Do Not Need Disclosure) Instrument 2016/80

ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73

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Significant events reporting

RG 184 Superannuation: Delivery of product disclosure for investment strategies

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Stop orders

RG 152 Lodgment of disclosure documents

RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)

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Unsolicited offers

RG 161 Share and interest sale facilities

ASIC Corporations (Share and Interest Sale Facilities) Instrument 2018/99

ASIC Corporations (Hawking—Life Risk Insurance and Consumer Credit Insurance) Instrument 2019/839 (see also 19-335MR; REP 640; 19-188MR; and CP 317 and submissions)

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Warrants

ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886

ASIC Corporations (Disclosure in Dollars) Instrument 2016/767

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Last updated: 10/09/2021 04:02