Funds management

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Home > For finance professionals > Fund operators

Home > Regulatory resources > Funds management

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ASIC's responses to COVID-19

ASIC website resources

Duties and obligations during COVID-19

Hardship withdrawals

COVID-19 related relief

Developments in fund management

Starting a fund

Registering a scheme

Responsible entity - financial services licence

Scheme constitutions

Compliance plans

Compliance committee

Scheme property

Audit of compliance plan

Corporate collective investment vehicles

Australian passport fund

Foreign passport fund

Running a fund

Applications to invest

Attribution managed investment trust status

Audit of financial report

Changing the responsible entity

Constitutions

Continuous disclosure

Dispute resolution

Fees

Financial reporting

Frozen funds and hanrdship payments

Hawking and advertising

Meetings

Members withdrawal rights

Product disclosure statement

Relevant interests and substantial holding notices

Responsible entity's duties

Related party transactions

Sale facilities

Unit pricing

Types of fund

Agribusiness schemes

Asia Region Funds Passport

Australian passport funds

Charitable and educational schemes

Closely related schemes

Corporate collective investment schemes

Direct real property schemes

Employee redundancy funds

Exchange traded funds

Film schemes

Financial asset schemes

Foreign collective investment schemes

Foreign passport fund

Foreign providers of funds management services

Group purchasing bodies

Hedge funds

Horse schemes

IDPS schemes and IDPS like schemes

Infrastructure entities

Initial coin offerings

Litigation funding schemes

Managed discretionary accounts

Money market funds

Mortgage schemes

Primary production schemes

Services strata schemes and management rights schemes

Share and interest purchase plans

Time-sharing schemes

Trustee common funds

Wholesale equity schemes

Closing a fund

Relief

Applying for relief

Regulatory guides

Legislative instruments

ASIC's product intervention power

Product design and distribution obligations

Industry funding

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ASIC's responses to COVID-19

ASIC website resources

Duties and obligations during COVID-19

ASIC reminds responsible entities of registered managed investment schemes about their legal obligations and duties to members, and that valuations of managed fund assets should be regular, robust and reasonable. ASIC may be able to provide responsible entities with relief to assist members if a scheme becomes non-liquid.

See

Responsible entities of registered schemes and COVID-19 (article 8/4/2020)

Home > About ASIC > News centre > Articles > ASIC letter to responsible entities of registered schemes

Home > About ASIC > News centre > Articles > Managed fund asset valuations must be reliable during COVID-19

20-107MR ASIC warns consumers: Investment advertising is not always ‘true to label’

20-137MR Investment funds told to correct advertising and disclosure

20-218MR ASIC tells fund managers to be ‘true to label’

Hardship withdrawals

20-197MR ASIC grants industry-wide relief to help members of frozen funds make hardship withdrawals

See

RG 136 Funds management: Discretionary powers

ASIC Corporations (Hardship Withdrawals Relief) Instrument 2020/778

INFO 249 Frozen funds – Information for responsible entities

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COVID-19 related relief

20-084MR ASIC to provide additional time for unlisted entity financial reports

20-113MR ASIC to further extend financial reporting deadlines for listed and unlisted entities and amends ‘no action’ position for AGMs

20-158MR ASIC issues no-action position to allow right-of-use lease assets to count in satisfying AFS licensee requirements

20-276MR ASIC to further extend financial reporting deadlines for listed and unlisted entities and amends ‘no action’ position for AGMs

See

ASIC Corporations (Extended Reporting and Lodgment Deadlines—Unlisted Entities) Instrument 2020/395

ASIC Corporations (Extended Reporting and Lodgment Deadlines—Listed Entities) Instrument 2020/451

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Developments in fund management

See also

Home > Regulatory resources > Funds management > New developments in funds management

18-222MR ASIC updates guidance for funds management industry (see REP 582, CP 296 and submissions; and 17-358MR)

MR 19-195 ASIC implements pause on admission of managed funds with internal market makers

20-192MR ASIC manages transition to new regulatory regime for litigation funding schemes (see Litigation funding schemes below)

20-321MR ASIC releases updated regulatory guide on time-sharing schemes (see Time-sharing schemes below)

20-325MR ASIC highlights focus areas for 31 December 2020 financial reports under COVID-19 conditions

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Starting a fund

Registering a scheme

See also

Home > For finance professionals > Fund operators > Establishing and registering a fund > How to register a managed investment scheme

Home > For finance professionals > AFS licensees > Applying for and managing an AFS licence

RG 131 Funds management: Establishing and registering a fund

RG 80 Managed investment schemes - interests not for money

RG 195 Group purchasing bodies for insurance and risk products

CO 02/318 The Society of Lloyd's

ASIC Corporations (Managed Investment Schemes: Interests Not For Money) Instrument 2016/1107

CO 02/779 Responsible entities holding futures brokers licences

ASIC Corporations (Group Purchasing Bodies) Instrument 2018/751

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Responsible entity - financial services licence

See also

Regulatory index topic: Financial services: Getting an AFS licence

RG 36 Licensing: Financial product advice and dealing

RG 87 Charitable investment schemes and school enrolment deposits

RG 104 Licensing: Meeting your general obligations

RG 105 Licensing: Organisational competence

RG 140 Serviced strata schemes

RG 167 Licensing: Discretionary powers (see 19-129MR)

RG 181 Licensing: Managing conflicts of interest

RG 259 Risk management systems of responsible entities

INFO 240 AFS licensing – Requirements for certain applicants to provide further information (see 19-175MR)

INFO 251 AFS licensing requirement for trustees of unregistered managed investment schemes

20-322MR ASIC consults on the treatment of lease assets in satisfying AFS licence requirements: see CP 336 Financial requirements: Treatment of lease assets

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Scheme constitutions

RG 134 Managed investments: Constitutions (see 18-222MR)

RG 137 Constitution requirements for schemes registered before 1 October 2013 (see 18-222MR)

REP 347 Response to submissions on CP 188 Managed investments: Constitutions—Updates to RG 134

ASIC Corporations (Managed investment product consideration) Instrument 2015/847

ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489

ASIC Corporations (Changing Scheme Constitutions) Instrument 2019/700 (see 19-252MR)

ASIC Corporations (Chapter 5C—Miscellaneous Provisions) Instrument 2017/125

CO 13/655 Provisions about the amount of consideration to acquire interests and withdrawal amounts not covered by ASIC Corporations (Managed investment product consideration) Instrument 2015/847.

CO 13/656 Equality of treatment impacting on the acquisition of interests

CO 13/657 Discretions affecting the amount of consideration to acquire interests and withdrawal amounts

ASIC Corporations (Chapter 5C—Miscellaneous Provisions) Instrument 2017/125

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Compliance plans

RG 132 Managed investments: Compliance plans (see 18-222MR)

RG 133 Managed investments: Scheme property arrangements (see 18-222MR)

ASIC Corporations (Chapter 5C—Miscellaneous Provisions) Instrument 2017/125

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Compliance committee

RG 132 Managed investments: Compliance plans (see 18-222MR)

RG 136 Managed investments: Discretionary powers (see 18-222MR and 20-197MR)

SCO 98/1805 Former representative on compliance committee

ASIC Corporations (Chapter 5C—Miscellaneous Provisions) Instrument 2017/125

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Scheme property

RG 133 Managed investments: Scheme property arrangements (see 18-222MR)

RG 144 Mortgage investment schemes

RG 160 Time-sharing schemes

RG 166 Licensing: Financial requirements

REP 376 Response to submissions on CP 197: Holding scheme property and other assets

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Audit of the compliance plan

RG 132 Managed investments: Compliance plans (see 18-222MR)

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Corporate collective investment vehicles

See

Home > For finance professionals > Fund operators> Establishing and registering a fund > How to register a corporate collective investment vehicle

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Australian passport fund

See also

Home > For finance professionals > Fund operators > Establishing and registering a fund > How to register as an Australian passport fund

RG 131 Funds management: Establishing and registering a fund

RG 132 Funds management: Compliance and oversight (see 18-222MR)

RG 181 Licensing: Managing Conflicts of interest

RG 259 Risk management systems of responsible entities

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Foreign passport fund

See also

Home > For finance professionals > fund operators > Establishing and registering a fund > How to become a notified foreign passport fund

RG 138 Foreign passport funds (see 18-222MR)

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Asia Region Funds Passport regime

RG 131 Funds management: Establishing and registering a fund

RG 132 Funds management: Compliance and oversight (see 18-222MR)

RG 133 Funds management and custodial services: Holding assets (see 18-222MR)

RG 134 Funds management: Constitutions (see 18-222MR)

RG 136 Funds management: Discretionary powers (see 18-222MR and 20-197MR)

RG 138 Foreign passport funds (see 18-222MR)

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Running a fund

RG 132 Funds management: Compliance and oversight (see 18-222MR)

RG 136 Managed investments: Discretionary powers and closely related schemes (see 18-222MR and 20-197MR)

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Applications to invest

RG 127 Additional investments in managed investment schemes

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

ASIC Corporations (Application Form Requirements) Instrument 2017/241

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Attribution managed investment trust status

ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489

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Audit of the financial report

RG 34 Auditors’ obligations: reporting to ASIC

RG 115 Audit relief for proprietary companies

RG 187 Auditor rotation

INFO 64 Resignation and removal of auditors of registered schemes or compliance plans

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Changing the responsible entity

RG 171 Anomalies and issues in the takeover provisions

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Constitutions

See also

Regulatory index topic: Funds management - Starting a scheme: Scheme constitutions

ASIC Corporations (Changing Scheme Constitutions) Instrument 2019/700 (see 19-200MR, CP 320 and 19-252MR)

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Continuous disclosure

See also

Regulatory index topic: Australian companies: Running a company - Continuous disclosure

RG 95 Disclosing entity provisions relief

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Dispute resolution

See

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

 

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Fees

RG 97 Disclosing fees and costs in PDSs and periodic statements

See

20-167MR ASIC releases minor updates to RG 97

ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070

REP 638 Consumer testing of the fees and costs tools for superannuation and managed investment schemes (see 19-328MR)

REP 637 Response to submissions on CP 308 Review of Regulatory Guide 97 (see 19-002MR; 19-328MR; and CP 308 and submissions)

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

REP 581 Review of ASIC Regulatory Guide 97: Disclosing fees and costs in PDSs and periodic statements (see 17-369MR and 18-217MR)

18-372MR ASIC extends transition period for elements of fees and costs disclosure (see CO 14/1252)

CO 13/1200 Periodic statements relief for AQUA quoted and listed managed investment scheme manager

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

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Financial reporting

See also

Regulatory index topic: Financial reporting

RG 68 New financial reporting and procedural requirements

ASIC Corporations (Uncontactable Members) Instrument 2016/187

ASIC Corporations (Related Scheme Reports) Instrument 2015/839

ASIC Corporations (Exempt Proprietary Companies) Instrument 2015/840

ASIC Corporations (Non-Reporting Entities) Instrument 2015/841

ASIC Corporations (Post Balance Date Reporting) Instrument 2015/842

ASIC Corporations (Rounding in Financial/Directors’ Reports) Instrument 2016/191

CO 13/760 Financial requirements for responsible entities and operators of investor directed portfolio services

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Frozen funds and hardship payments

20-197MR ASIC grants industry-wide relief to help members of frozen funds make hardship withdrawals

See

INFO 159 Your investment: Frozen funds and hardship payments

ASIC (Hardship Withdrawals Relief) Instrument 2020/778

RG 136 Funds management: Discretionary powers

See also

Regulatory index topic: Fundraising

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Hawking and advertising

See also

Regulatory index topic: Financial services: Hawking and advertising

RG 38 The hawking prohibitions (see 19-335MR)

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

ASIC Corporations (Exposure Period) Instrument 2016/74

ASIC Corporations (Securities and Managed Investment Scheme Hawking Relief) Instrument 2017/184

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Meetings

CO 99/840 (PDF) Transitional relief and quorum requirements

INFO 22 Company resolutions

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Members withdrawal rights

RG 134 Managed investments: Constitutions (see 18-222MR)

RG 101 On-market buy-backs by ASX-listed schemes

ASIC Corporations (ASX-listed Schemes On-market Buy-backs) Instrument 2016/1159

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Product disclosure statement

See also

Regulatory index topic: Financial services: Product disclosure - Product disclosure statements

RG 97 Disclosing fees and costs in PDSs and periodic statements

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

REP 22 A review of the research on the past performance of managed funds

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

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

Relevant interests and substantial holding notices

RG 5 Relevant interests and substantial holding notices (see 20-198MR, REP 667; and CP 328 and submissions)

RG 254 Offering securities under a disclosure document (see 20-198MR)

CO 13/520 Relevant interests, voting power and exceptions to the general prohibition

ASIC Corporations (IPO Communications) Instrument 2020/722

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Responsible entity's duties

See also

Regulatory index topic: Financial services: Ongoing licensee obligations

RG 104 Licensing: Meeting the general obligations

RG 127 Additional investments in managed investment schemes

RG 132 Funds management: Compliance and oversight (see 18-222MR)

RG 133 Funds management and custodial services: Holding assets (see 18-222MR)

RG 139 Approval of external complaints resolution schemes

RG 140 Serviced strata schemes

RG 160 Time-sharing schemes

RG 190 Offering securities in New Zealand and Australia under mutual recognition

RG 181 Licensing: Managing Conflicts of interest

RG 259 Risk management systems of responsible entities

REP 259 Response to submissions on CP 140 Responsible entities: Financial requirements

REP 298 Adequacy of risk management systems of responsible entities

REP 440 Financial benchmarks

REP 474 Culture, conduct and conflicts of interest in vertically integrated businesses in the funds-management industry

REP 528 Responsible entities’ compliance with obligations: Findings from 2016 proactive surveillance program

REP 555 Cyber resilience of firms in Australia’s financial markets

See also

Regulatory index topic: Takeovers and reconstructions

 

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Related party transactions

RG 76 Related party transactions

RG 159 Takeovers, compulsory acquisitions and substantial holdings

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Sale facilities

RG 161 Share and interest sale facilities

CO 13/721 Relief to facilitate quotation of exchange traded funds on the AQUA Market

CO 13/1200 Periodic statements relief for AQUA quoted and listed managed investment scheme manager

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

19-348MR Outcomes of review into internal market making for quoted managed funds

19-349MR ASIC’s assessment of ASX Limited’s AQUA market

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Unit pricing

RG 94 Unit pricing: guide to good practice

RG 132 Managed investments: Compliance plans (see 18-222MR)

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Whistleblower policies

See

Regulatory index topic: Financial services - Ongoing licensee obligations - Whistleblower policies

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Types of fund

RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)

REP 22 A review of the research on the past performance of managed funds

REP 582 Response to submissions on CP 296 Funds management

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Agribusiness schemes

RG 232 Agribusiness managed investment schemes: Improving disclosure for retail investors

REP 273 Response to submissions on CP 133 Agribusiness schemes: Improving disclosure for retail investors

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Asia Region Funds Passport

ASIC Corporations (Changing Scheme Constitutions) Instrument 2019/700

ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75

ASIC Corporations (Wholesale Equity Scheme Trustees) Instrument 2017/849

ASIC Corporations (Disclosure Relief—Offers to Associates) Instrument 2017/737

ASIC Corporations (Application Form Requirements) Instrument 2017/241

ASIC Corporations (Managed Discretionary Account Services) Instrument 2016/968

ASIC Corporations (Uncontactable Members) Instrument 2016/187

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

ASIC Corporations (Externally-Administered Bodies) Instrument 2015/251

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

CO 13/1410 Holding assets: Standards for providers of custodial and depository services

CO 13/656 Equality of treatment impacting on the acquisition of interests

CO 13/521 Takeover bids

CO 12/749 Relief from the Shorter PDS regime

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Australian passport fund

RG 131 Funds management: Establishing and registering a fund

RG 132 Funds management: Compliance and oversight (see 18-222MR)

RG 181 Licensing: Managing Conflicts of interest

RG 259 Risk management systems of responsible entities

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Charitable and educational schemes

RG 56 Prospectuses

RG 87 Charitable Investment schemes and school enrolment deposits

RG 95 Disclosing entity provisions relief

ASIC Corporations (Charitable Investment Fundraising) Instrument 2016/813

ASIC Corporations (School Enrolment Deposits) Instrument 2016/812

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Closely related schemes

RG 136 Funds management: Discretionary powers (see 18-222MR and 20-197MR)

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Corporate collective investment vehicles

See

Home > For finance professionals > Fund operators > Establishing and registering a fund > How to register a corporate collective investment vehicle

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Direct real property schemes

RG 46 Unlisted property schemes - improving disclosure for retail investors

RG 77 Property trusts and property syndicates

ASIC Corporations (Property Rental Schemes) Instrument 2016/870

ASIC Corporations (Real Estate Companies) Instrument 2015/1049

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Employee redundancy funds

ASIC Corporations (Employee Redundancy Funds Relief) Instrument 2015/1150 (see 18-285MR)

REP 463 Response to submissions on CP 238 Remaking ASIC class order on employee redundancy funds: [CO 02/314]

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Exchange traded funds

18-226MR ASIC’s review of exchange traded products identifies areas for improvement (see REP 583)

18-267MR ASIC provides regulatory approvals for a proposed new product and ETFs for the Chi-X market

19-349MR ASIC’s assessment of ASX Limited’s AQUA market (see REP 644)

See

INFO 230 Exchange traded products: Admission guidelines

CO 13/655 Provisions about the amount of consideration to acquire interests and withdrawal amounts not covered by ASIC Corporations (Managed investment product consideration) Instrument 2015/847;

CO 13/721 Relief to facilitate quotation of exchange traded funds on the AQUA Market

CO 13/1200 Periodic statements relief for AQUA quoted and listed managed investment scheme manager;

ASIC Corporations (Managed investment product consideration) Instrument 2015/847

ASIC Corporations (Division 3 Securities and Division 4 Financial Products) Instrument 2015/1030

ASIC Corporations (Short Selling) Instrument 2018/745

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Film schemes

RG 19 Film Investment Schemes

ASIC Corporations (Managed Investment Schemes: Interests Not For Money) Instrument 2016/1107

REP 505 Response to submissions on CP 266 Remaking ASIC class orders on managed investment schemes: Not for money

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Financial asset schemes

RG 133 Funds management and custodial services: Holding assets (see 18-222MR)

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Foreign collective investment schemes

RG 178 Foreign collective investment schemes

SCO 00/184 Relief to facilitate offer of interests in registered schemes in New Zealand

ASIC Corporations (Repeal and Transitional) Instrument 2017/271

CO 08/506 Hong Kong collective investment schemes

REP 134 Enhancing capital flows into and out of Australia

INFO 93 Practical guidance for operators of foreign collective investment schemes seeking to offer in Australia

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Foreign passport fund

RG 138 Foreign passport funds (see 18-222MR)

ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75

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Foreign providers of funds management services

See

Regulatory index topic: Other entities – Foreign financial services providers

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Group purchasing bodies

ASIC Corporations (Group Purchasing Bodies) Instrument 2018/751 (see 18-272MR)

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Hedge funds

RG 240 Hedge funds: Improving disclosure

REP 370 The Australian hedge funds sector and systemic risk

REP 439 Snapshot of the Australian hedge funds sector

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Horse schemes

RG 91 Horse racing and breeding schemes

ASIC Corporations (Horse Schemes) Instrument 2016/790

REP 491 Response to submissions on CP 242 Remaking ASIC class orders on horse racing syndicates and horse breeding schemes

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IDPS schemes and IDPS like schemes

RG 148 Investor directed portfolio services CO 00/5 Investor directed portfolio services - deregistration of registered managed investment schemes

SCO 02/294 Investor directed portfolio services

SCO 02/296 Investor directed portfolio-like services provided through a registered managed investment scheme

CO 13/763 Investor directed portfolio services

ASIC Corporations (IDPS - Relevant Interests) Instrument 2015/1067

REP 351 Response to submissions on CP 176 Review of ASIC policy on platforms: Update to RG 148

REP 408 Review of the implementation of RG 148: Platforms that are managed investment schemes

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Infrastructure entities

RG 231 Infrastructure entities: Improving disclosure for retail investors

REP 272 Response to CP 134 and CP 154 Infrastructure entities: Invproving disclosure for retail investors

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Initial coin offerings

INFO 225 Initial coin offerings

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Litigation funding schemes

See also

Home > Regulatory resources > Funds management > Litigation funding

20-192MR ASIC manages transition to new regulatory regime for litigation funding schemes

21-028MR ASIC sets five-year sunset date for litigation funding legislative instrument

See

ASIC Corporations (Litigation Funding Schemes) Instrument 2020/787

ASIC Credit (Litigation Funding—Exclusion) Instrument 2020/37

ASIC Corporations (Conditional Costs Schemes) Instrument 2020/38

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Managed discretionary accounts

18-292MR All managed discretionary account providers now required to be licensed

RG 127 Additional investments in managed investment schemes

RG 179 Managed discretionary account services

ASIC Corporations (Nominee and Custody Services) Instrument 2016/1156

ASIC Corporations (Managed Discretionary Accounts) Instrument 2016/968

REP 496 Response to submissions on CP 200 Managed discretionary accounts: Update to RG 179

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Money market funds

REP 324 Money market funds

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Mortgage schemes

RG 45 Mortgage schemes - improving disclosure for retail investors

RG 144 Mortgage investment schemes

ASIC Corporations (Mortgage Investment Schemes) Instrument 2017/857

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Primary production schemes

See also

Regulatory index topic: Funds Management: Types of schemes - Horse schemes

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

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Serviced strata schemes and management rights schemes

RG 140 Serviced strata schemes

ASIC Corporations (Serviced apartment and like schemes) Instrument 2016/869

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Share and interest purchase plans

19-233MR ASIC remakes ‘sunsetting’ class order facilitating the offer of share and interest purchase plans

See

RG 125 Share and interest purchase plans

REP 629 Response to submissions on CP 304 Remaking ASIC class order on share and interest purchase plans: [CO 09/425] (see CP 304 and submissions)

ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547 (see 20-075MR; 20-135MR and 20-220MR)

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Time-sharing schemes

See also

Home > Regulatory resources > Funds management > Time-sharing schemes

20-321MR ASIC releases updated regulatory guide on time-sharing schemes

See

RG 160 Time-sharing schemes

ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070

ASIC Corporations (Time-sharing Schemes) Instrument 2017/272

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

CO 13/760 Financial requirements for responsible entities and operators of investor directed portfolio services

REP 522 Response to submissions on CP 272 Remaking ASIC class orders on time-sharing schemes

REP 642 Timeshare - consumers' experiences (see 19-339MR)

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Trustee common funds

RG 32 Trustee companies common funds

RG 88 Trustee and nominee companies

RG 136 Managed investments: Discretionary powers (see 18-222MR and 20-197MR)

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Wholesale equity schemes

RG 192 Licensing: Wholesale equity schemes (see 18-254MR)

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Closing a fund

RG 148 Investor directed portfolio services

RG 174 Relief for externally administered companies and registered schemes being wound up

RG 32 Trustee companies common funds

INFO 25 Deregistering a company

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Relief

Applying for relief

Relief applications now lodged through the ASIC Regulatory Portal

See

Home > About ASIC > Dealing with ASIC > Apply for relief > Changes to how you apply for relief

Regulatory index topic: Dealing with ASIC: Applying for relief

RG 21 How ASIC charges fees for relief applications

RG 51 Applications for relief

INFO 82 Apply for relief

REP 664 Overview of decisions on relief applications (October 2019 to March 2020): see 20-144MR

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Regulatory Guides

See also

Regulatory index topic: Financial services - Getting an AFS licence

RG 21 How ASIC charges fees for relief applications

RG 169 Disclosure: Discretionary powers

RG 192 Wholesale equity schemes: licensing relief for trustees (see 18-254MR)

RG 195 Group purchasing bodies for insurance and risk products

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Legislative instruments

CO 99/840 (PDF 85 KB) Transitional relief and quorum requirements

SCO 00/184 Relief to facilitate offer of interests in registered schemes in New Zealand

SCO 02/294 Investor directed portfolio services

SCO 02/296 Investor directed portfolio-like services provided through a registered managed investment scheme

CO 02/318 (PDF 27 KB) The Society of Lloyd's

CO 02/779 (PDF 18 KB) Responsible entities holding futures brokers licences

CO 03/244 (PDF 16 KB) Licensing relief for financial services offered because of Regulation 7.1.33C(1)

CO 03/653 (PDF 15 KB) Pooled development funds: Licensing exemptions for dealing in, and general advice on, own securities

CO 03/1094 (PDF 44 KB) Law societies - professional indemnity scheme and fidelity funds

CO 03/1095 (PDF 47 KB) Law societies - statutory deposit accounts and public purpose funds

CO 04/1204 (PDF 22 KB) Time-sharing schemes - extension of time until 30 June 2005 to belong to an ASIC approved Industry Supervisory Body

CO 08/506 Hong Kong collective investment schemes

CO 12/749 Relief from the Shorter PDF regime (see 18-164MR)

CO 13/521 Takeover bids

CO 13/656 Equality of treatment impacting on the acquisition of interests

CO 13/657 Discretions affecting the amount of consideration to acquire interests and withdrawal amounts

CO 13/721 Relief to facilitate quotation of exchange traded funds on the AQUA Market

CO 13/760 Financial requirements for responsible entities and operators of investor directed portfolio services

CO 13/763 Investor directed portfolio services

CO 13/1200 Periodic statements relief for AQUA quoted and listed managed investment scheme manager

CO 13/1410 Holding assets: Standards for providers of custodial and depository services

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

ASIC Corporations (Externally-Administered Bodies) Instrument 2015/251

ASIC Corporations (Related Scheme Reports) Instrument 2015/839

ASIC Corporations (Exempt Proprietary Companies) Instrument 2015/840

ASIC Corporations (Non-Reporting Entities) Instrument 2015/841

ASIC Corporations (Post Balance Date Reporting) Instrument 2015/842

ASIC Corporations (Managed investment product consideration) Instrument 2015/847

ASIC Corporations (Real Estate Companies) Instrument 2015/1049

ASIC Corporations (IDPS - Relevant Interests) Instrument 2015/1067

ASIC Corporations (Effect of Licensing Exemptions) Instrument 2015/1115

ASIC Corporations (Employee Redundancy Funds Relief) Instrument 2015/1150

ASIC Corporations (Exposure Period) Instrument 2016/74

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

ASIC Corporations (Uncontactable Members) Instrument 2016/187

ASIC Corporations (Rounding in Financial/Directors’ Reports) Instrument 2016/191

ASIC Corporations (Securitisation Special Purpose Vehicles) Instrument 2016/272

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

ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489

ASIC Corporations (Horse Schemes) Instrument 2016/790

ASIC Corporations (School Enrolment Deposits) Instrument 2016/812

ASIC Corporations (Charitable Investment Fundraising) Instrument 2016/813

ASIC Corporations (Serviced apartment and like schemes) Instrument 2016/869

ASIC Corporations (Property Rental Schemes) Instrument 2016/870

ASIC Corporations (Managed Discretionary Accounts) Instrument 2016/968

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

ASIC Corporations (Managed Investment Schemes: Interests Not For Money) Instrument 2016/1107

ASIC Corporations (Nominee and Custody Services) Instrument 2016/1156

ASIC Corporations (ASX-listed Schemes On-market Buy-backs) Instrument 2016/1159

ASIC Corporations (Chapter 5C—Miscellaneous Provisions) Instrument 2017/125

ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182

ASIC Corporations (Securities and Managed Investment Scheme Hawking Relief) Instrument 2017/184

ASIC Corporations (Application Form Requirements) Instrument 2017/241

ASIC Corporations (Repeal and Transitional) Instrument 2017/271

ASIC Corporations (Time-sharing Schemes) Instrument 2017/272

ASIC Corporations (Disclosure Relief—Offers to Associates) Instrument 2017/737

ASIC Corporations (Factoring Arrangements) Instrument 2017/794

ASIC Corporations (Wholesale Equity Scheme Trustees) Instrument 2017/849 (see 18-254MR)

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

ASIC Corporations (AFCA transition) Instrument 2018/447

ASIC (Fees—Complexity Criteria) Instrument 2018/578

ASIC Corporations (Group Purchasing Bodies) Instrument 2018/751

ASIC Corporations and Credit (Transition to AFCA) Instrument 2018/814

ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75

ASIC Corporations (Changing Scheme Constitutions) Instrument 2019/700

ASIC Corporations and Credit (Internal Dispute Resolution – Transitional) Instrument 2019/965

ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070

ASIC Corporations (AFCA Regulatory Requirement) Instrument 2020/0433

ASIC Corporations (AFCA Regulatory Requirement) Instrument 2021/0002

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ASIC's product intervention power

20-139MR ASIC releases guidance on its product intervention power

See

RG 272 Product intervention power

REP 661 Response to submissions on CP 313 Product intervention power (see CP 313 and submissions; and 19-157MR)

CP 324 Product intervention: The sale of add-on financial products through caryard intermediaries (see 19-267MR)

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Product design and distribution obligations

20-320MR ASIC releases regulatory guide on product design and distribution obligations

See

RG 274 Product design and distribution obligations

REP 674 Response to submissions on CP 325 Product design and distribution obligations (see CP 325 and submissions; and 19-369MR)

ASIC Corporations (Deferral of Design and Distribution Obligations) Instrument 2020/486

ASIC Corporations (Design and Distribution Obligations—Exchange Traded Products) Instrument 2020/1090

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Industry funding

See

Home > About ASIC > What we do > How we operate > ASIC industry funding

Regulatory index topic: Dealing with ASIC - Industry funding 

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Last updated: 30/03/2021 09:22