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
Annual reports
CO 02/1071 Clarification of Corporations Regulation 10.2.74
Application forms
ASIC Corporations (Application Form Requirements) Instrument 2017/241
Confirmation of transaction
ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211
Cooling off
RG 160 Time-sharing schemes
Dispute resolution
Related documents
Regulatory index topic: Financial services - Ongoing licencee obligations - Dispute resolution
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
Environmental, social and ethical factors
INFO 271 How to avoid greenwashing when offering or promoting sustainability-related products (see 22-141MR)
RG 65 Section 1013DA disclosure guidelines
RG 175 Licensing: Financial product advisers - Conduct and disclosure
Related information
REP 763 ASIC’s recent greenwashing interventions (see 23-121MR)
Fees and remuneration
This section contains:
Overview
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
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
Market announcements
ASIC Corporations (Market Research and Roadshows) Instrument 2016/79
Multi-issuer
SCO 03/876 Multi-issuer product disclosure statements
ASIC Corporations (Joint Product Disclosure Statements) 2016/1056
SCO 06/682 Multiple derivative issuers
Periodic statements
RG 97 Disclosing fees and costs in PDSs and periodic statements
ASIC Corporations (Deposit Product Disclosure) Instrument 2015/683
Product disclosure statements
This section contains:
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 (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)
ASIC Corporations (PDS Requirements for General Insurance Quotes) Instrument 2022/66 (see 21-156MR and CP 344 Remaking ASIC class order on when debentures can be called secured notes: [CO 12/1482])
ASIC Corporations (Shorter PDS and Delivery of Accessible Financial Products Disclosure by Platform Operators and Superannuation Trustees) Instrument 2022/497 (see 22-024MR and 22-142MR)
ASIC Corporations (Repeal) Instrument 2022/499 (see 22-024MR and 22-142MR)
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
Prospectuses
RG 228 Prospectuses: Effective disclosure for retail investors
ASIC Corporations (Debenture Prospectuses) Instrument 2016/75
ASIC Corporations (Describing Debentures – Secured Notes) Instrument 2022/61 (see 22-068MR, CP 344, 21-156MR and [SCO 12/1482]
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
Significant events reporting
RG 184 Superannuation: Delivery of product disclosure for investment strategies
Stop orders
RG 152 Lodgment of disclosure documents
RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)
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)
Warrants
ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886
ASIC Corporations (Disclosure in Dollars) Instrument 2016/767