Types of financial service

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.

Find out more about the regulatory index or see related information at:

Financial advice

Related information

This section contains:

Regulatory guides

RG 36 Financial product advice and dealing

RG 84 Super switching advice: Questions and answers 

RG 79 Managing conflicts of interest: An ASIC guide for research report providers

RG 90 Example Statement of Advice for a limited financial advice scenario for a new client

RG 97 Disclosing fees and costs in PDSs and periodic statements

RG 104 Licensing: Meeting the general obligations

RG 105 AFS licensing: Organisational competence

RG 126 Compensation and insurance arrangements for AFS licensees

RG 146 Licensing: Training of financial product advisers

RG 166 Licensing: Financial requirements

RG 175 Licensing: Financial product advisers—Conduct and disclosure

RG 181 Licensing: Managing conflicts of interest

RG 200 Advice to super fund members

RG 221 Facilitating digital financial services disclosures

RG 234 Advertising financial products and services (including credit): Good practice guidance

RG 244 Giving information, general advice and scaled advice

RG 246 Conflicted remuneration

RG 255 Providing digital financial product advice to retail clients

RG 256 Client review and remediation conducted by advice licensees

RG 263 Financial Services and Credit Panel (see 22-206MR)

RG 267 Oversight of the Australian Financial Complaints Authority

RG 269 Approval and oversight of compliance schemes for financial advisers

RG 271 Internal dispute resolution

RG 277 Consumer remediation

Information sheets

INFO 168 Giving and collectively charging for intra-fund advice

INFO 182 Super switching advice - complying with your obligations

INFO 202 Disputes about the financial advisers register

INFO 205 Advice on self-managed superannuation funds: Disclosure of risks

INFO 206 Advice on self-managed superannuation funds: Disclosure of costs (see 19-277MR)

INFO 216 AFS licensing requirements for accountants who provide SMSF services

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 232 Fees for no service: Remediation

INFO 241 Prohibition on influencing employers’ superannuation fund choice: section 68A of the SIS Act (see 19-198MR)

INFO 250 Giving AFS and credit licensees information about their representatives (see news item)

INFO 256 FAQs: Ongoing fee arrangements

INFO 257 ASIC reference checking and information sharing protocol

INFO 259 Complying with the notify, investigate and remediate obligations

INFO 260 FAQs: Timeframe for passing the financial adviser exam

INFO 264 FAQs: Design and distribution obligations for advice licensees and financial advisers (see news item)

INFO 266 FAQs: Records of Advice (ROAs) (see 21-294MR)

INFO 267 Tips for giving limited advice (see 21-325MR)

INFO 268 FAQs: Regulation and registration of relevant providers who provide tax (financial) advice services (see news item - January 2023)

INFO 269 Discussing financial products and services online (see 22-054MR)

INFO 270 Warnings and reprimands (see 22-139MR)

INFO 273 FSCP decisions: Your rights (see 22-206MR)

INFO 274 Tips for giving self-managed superannuation fund advice

Related information

COVID-19 advice relief below


CO 09/210 Intra-fund superannuation advice

ASIC Corporations (Advertising by Product Issuers) Instrument 2015/539

ASIC Corporations (General Advice Warning) Instrument 2015/540

ASIC Corporations (Real Estate Companies) Instrument 2015/1049

ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356

ASIC Corporations (Urgent Superannuation Advice) Instrument 2017/530

ASIC Corporations (Professional Standards—Transitional) Instrument 2018/894 (see 19-309MR)

ASIC Corporations (Existing Providers) Instrument 2022/241

ASIC Corporations (Adara Advisors) Instrument 2022/625

COVID-19 advice relief

22-083MR ASIC to allow COVID-19 temporary relief for financial advice to automatically repeal 15 April 2022

Related information

INFO 262 FAQs: COVID-19 information for advice licensees and financial advisers

ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2021/268 


21-072MR, 20-085MR, 20-135MR, 20-220MR, 21-294MR and 21-269MR

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)


REP 5 Review of the financial advising activities of real estate agents (interim report)

REP 6 Review of the financial advising activities of real estate agents (technical paper)

REP 17 Compliance with advice and disclosure obligations: Report on primary production schemes

REP 18 Superannuation switching surveillance: An ASIC 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 337 SMSFs: Improving the quality of advice given to investors

REP 362 Review of financial advice industry practice: Phase 2

REP 377 Review of advice on retail structured products

REP 413 Review of retail life insurance advice

REP 442 Response to submissions on CP 216 Advice on SMSFs

REP 459 Professional indemnity insurance market for AFS licensees providing financial product advice

REP 490 Response to submissions on CP 254 Regulating digital financial product advice

REP 499 Financial advice: Fees for no service

REP 500 Response to submissions on CP 247 Client review and remediation programs and update to record-keeping requirements

REP 515 Financial advice: Review of how large institutions oversee their advisers

REP 562 Financial advice: Vertically integrated institutions and conflicts of interest

REP 575 SMSFs: Improving the quality of advice and member experiences

REP 614 Financial advice: Mind the gap

REP 627 Financial advice: What consumers really think (see 19-223MR)

REP 636 Compliance with the fee disclosure statement and renewal notice obligations

REP 637 Response to submissions on CP 308 Review of Regulatory Guide 97

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

REP 639 Financial advice by superannuation funds (3 December 2019)

REP 662 Response to submissions on CP 327 on mortgage brokers and the best interests duty

Industry response to consultation on promoting consumer access to affordable advice (Article: 1 July 2021)

ASIC’s report on Ending grandfathered conflicted remuneration (published by the Treasurer: 16 July 2021)

REP 687 Response to submissions on CP 329 on advice fee consents and independence disclosure

REP 694 Response to submissions on CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing

REP 698 Response to submissions on CP 340 Breach reporting and related obligations

REP 707 Response to submissions on CP 335 Consumer remediation: Update to RG 256

REP 734 Response to submissions on CP 359 Update to RG 263 Financial Services and Credit Panel (see 22-206MR)

REP 735 Retail investor research (see 22-215MR)

REP 737 Response to submissions on CP 350 Consumer remediation: Further consultation

REP 740 Insights from the reportable situations regime: October 2021 to June 2022

Related information

Regulatory index topic: Financial services disclosure - general advice warning

Regulatory index topic: Financial services disclosure - statements of advice

Regulatory index topic: Financial services disclosure - financial services guide


RG 36 Licensing: Financial product advice and dealing

Funds management

Related information

Home > Regulatory resources > Funds management

Home > For finance professionals > Fund operators

Regulatory index topic: Funds management

Custodial and depositary services

Related information

Regulatory index topic: Financial services - Financial service providers - custodians

Making a market

Related information

Regulatory index topic: Financial markets

RG 172 Australian market licences: Australian operators

RG 177 Australian market licences: Overseas operators

INFO 230 Exchange traded products: Admission guidelines (see 20-088MR and 19-348MR)

Debt capital markets

REP 668 Allocations in debt capital market transactions

REP 393 Handling of confidential information: Briefings and unannounced corporate transactions

REP 605 Allocations in equity raising transactions

RG 79 Research report providers: Improving the quality of investment research

RG 181 Licensing: Managing conflicts of interest

RG 264 Sell-side research

Crowd-sourced funding

See also

Home > Regulatory resources > Financial services > Crowd-sourced funding

RG 261 Crowd-sourced funding: Guide for public companies (see 17-321MR and 18-314MR)

Attachment to RG 261: Template CSF offer document (DOCX 90 KB)

RG 262 Crowd-sourced funding: Guide for intermediaries (see 17-321MR and 18-314MR)

REP 657 Survey of crowd-sourced funding intermediaries: 2018–19

Claims handling and settling services

INFO 253 Claims handling and settling: How to comply with your AFS licence obligations (see 20-300MR and 21-067MR)

ASIC Corporations (Cash Settlement Fact Sheet) Instrument 2022/59 (see 22-034MR)

ASIC Corporations (Notification of Authorised Representatives) Instrument 2022/301 (see 22-146MR)

ASIC Corporations (Financial Services Guides) Instrument 2022/910 (see 22-327MR)

Last updated: 15/05/2023 03:48