Funds management
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Developments in fund management
18-222MR ASIC updates guidance for funds management industry (see REP 582, CP 296 and submissions; and 17-358MR (July 2018)
19-195MR ASIC implements pause on admission of managed funds with internal market makers (July 2019)
20-192MR ASIC manages transition to new regulatory regime for litigation funding schemes (August 2020)
20-321MR ASIC releases updated regulatory guide on time-sharing schemes: see Time-sharing schemes below (December 2020)
20-325MR ASIC highlights focus areas for 31 December 2020 financial reports under COVID-19 conditions (December 2020)
REP 686 Review of competition in the Australian funds management industry (March 2021)
21-091MR ASIC review finds retail managed funds responded well to COVID-19 challenges in 2020
21-168MR ASIC consults on guidance and relief for litigation funding schemes (July 2021)
21-258MR Report on competition in the Australian funds management industry released: see REP 702 Competition in funds management and Terms of Reference (PDF 157 KB) (September 2021)
ASIC releases findings from review of responsible entity governance: see Governance of responsible entities (PPT 245KB) (Article - January 2022)
22-050MR ASIC consults on financial services licensing requirements for corporate collective investment vehicles: see CP 360 and draft regulatory guides (March 2022)
22-061MR ASIC scrutinises marketing of managed fund performance and risks (March 2022)
22-070MR ASIC extends relief for business introduction services (March 2022)
22-093MR ASIC extends relief from certain dollar disclosures in PDSs for litigation funding schemes (April 2022)
22-141MR How to avoid greenwashing when offering or promoting sustainability-related products: see Product disclosure statement below (June 2022)
22-152MR ASIC releases new and updated guidance for corporate collective investment vehicles: see Corporate Collective Investment Vehicles below (June 2022)
22-330MR Managed funds to improve marketing oversight following ASIC surveillance (November 2022)
22-267MR ASIC remakes business introduction services relief for managed investment schemes: see Business introduction services below (September 2022)
Starting a fund
This section contains:
- New ID requirement for directors
- 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
New ID requirement for directors
Company directors need to verify their identity as part of a new director identification number (director ID) requirement. A director ID is a unique identifier that a director will apply for once and keep forever. Find out more at our Director ID information page.
Registering a scheme
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
Related information
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
Home > Regulatory resources > Find a document > Reports > Licensing and professional registration applications
Responsible entity - financial services 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
Related information
Regulatory index topic: Financial services: Getting an AFS licence
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 19-200MR, 19-252MR and CP 320)
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
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
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
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
Audit of the compliance plan
RG 132 Managed investments: Compliance plans (see 18-222MR)
Corporate collective investment vehicles
See Corporate collective investment vehicles below
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
Related information
Home > For finance professionals > Fund operators > Establishing and registering a fund > How to register as an Australian passport fund
Foreign passport fund
RG 138 Foreign passport funds (see 18-222MR)
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)
Related information
Home > For finance professionals > fund operators > Establishing and registering a fund > How to become a notified foreign passport fund
Running a fund
This section contains:
- Overview
- Applications to invest
- Attribution managed investment trust status
- Audit of financial report
- Business introduction services
- Changing the responsible entity
- Constitutions
- Continuous disclosure
- Dispute resolution
- Fees
- Financial reporting
- Frozen funds and hardship 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
Overview
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)
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
Attribution managed investment trust status
ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489
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
Business introduction services
ASIC Corporations (Business Introduction Services) Instrument 2022/805 (see 22-267MR)
RG 129 Business introduction and matching services
Background
22-070MR ASIC extends relief for business introduction services
Changing the responsible entity
RG 171 Anomalies and issues in the takeover provisions
Constitutions
ASIC Corporations (Changing Scheme Constitutions) Instrument 2019/700 (see 19-200MR, CP 320 and 19-252MR)
Background
Regulatory index topic: Funds management - Starting a scheme: Scheme constitutions
Continuous disclosure
RG 95 Disclosing entity provisions relief
Related information
Regulatory index topic: Australian companies: Running a company - Continuous disclosure
Dispute resolution
Regulatory index topic: Financial services - Ongoing licensee obligations - Dispute resolution
Fees
RG 97 Disclosing fees and costs in PDSs and periodic statements
Background
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 and 19-328MR)
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
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
Background
Regulatory index topic: Financial reporting
Frozen funds and hardship payments
20-197MR ASIC grants industry-wide relief to help members of frozen funds make hardship withdrawals
INFO 159 Your investment: Frozen funds and hardship payments
ASIC (Hardship Withdrawals Relief) Instrument 2020/778
RG 136 Funds management: Discretionary powers
Background
Regulatory index topic: Fundraising
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
INFO 271 How to avoid greenwashing when offering or promoting sustainability-related products (see 22-141MR)
Background
Regulatory index topic: Financial services: Hawking and advertising
Meetings
CO 99/840 (PDF) Transitional relief and quorum requirements
INFO 22 Company resolutions
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
Product disclosure statement
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
INFO 155 Shorter PDSs -Complying with requirements for superannuation products and simple managed investment schemes
INFO 271 How to avoid greenwashing when offering or promoting sustainability-related products (see 22-141MR)
Background
Regulatory index topic: Financial services: Product disclosure - Product disclosure 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
Responsible entity's duties
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
Related information
Regulatory index topic: Financial services: Ongoing licensee obligations
Background
Regulatory index topic: Takeovers and reconstructions
Related party transactions
RG 76 Related party transactions
RG 159 Takeovers, compulsory acquisitions and substantial holdings
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
Unit pricing
RG 94 Unit pricing: guide to good practice
RG 132 Managed investments: Compliance plans (see 18-222MR)
Whistleblower policies
Related information
Home > About ASIC > ASIC investigations and enforcement > Whistleblowing
Regulatory index topic: Financial services - Ongoing licensee obligations - Whistleblower policies
Types of fund
This section contains:
- Overview
- 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
Overview
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
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
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
Related information
22-286MR Managed funds industry invited to provide feedback on the Asia Region Funds Passport
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
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
Closely related schemes
RG 136 Funds management: Discretionary powers (see 18-222MR and 20-197MR)
Corporate collective investment vehicles
22-152MR ASIC releases new and updated guidance for corporate collective investment vehicles
INFO 272 How to register a corporate collective investment vehicle and sub-fund
Related information
RG 131 Funds management: Establishing and registering a fund
RG 134 Funds management: Constitutions
RG 240 Hedge funds: Improving disclosure
RG 259 Risk management systems of fund operators
ASIC Corporations (Amendment) Instrument 2022/0940
For finance professionals > Fund operators > Establishing and registering a fund > How to register a corporate collective investment vehicle
Regulatory resources > Managed funds > Corporate collective investment vehicles
Background
CP 360 Corporate collective investment vehicles: Preparing for the commencement of the new regime (see 22-050MR)
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
Employee redundancy funds
ASIC Corporations (Employee Redundancy Funds Relief) Instrument 2015/1150 (see 18-285MR and 21-241MR)
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)
Related information
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
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
Financial asset schemes
RG 133 Funds management and custodial services: Holding assets (see 18-222MR)
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
Foreign passport fund
RG 138 Foreign passport funds (see 18-222MR)
ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75
Foreign providers of funds management services
Related information
Regulatory index topic: Other entities – Foreign financial services providers
Group purchasing bodies
ASIC Corporations (Group Purchasing Bodies) Instrument 2018/751 (see 18-272MR)
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
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
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
CO 13/760 Financial requirements for responsible entities and operators of investor directed portfolio services
CO 13/762 Investor directed portfolio services provided through a registered managed investment scheme
CO 13/763 Investor directed portfolio services
ASIC Corporations (IDPS - Relevant Interests) Instrument 2015/1067
ASIC Corporations (Shorter PDS and Delivery of Accessible Financial Products Disclosure by Platform Operators and Superannuation Trustees) Instrument 2022/497 (see 22-142MR)
ASIC Corporations (Repeal) Instrument 2022/499 (see 22-142MR)
Background
SCO 02/294 Investor directed portfolio services (repealed)
SCO 02/296 Investor directed portfolio-like services provided through a registered managed investment scheme (repealed)
REP 351 Response to submissions on CP 176 Review of ASIC policy on platforms: Update to RG 148 (see 13-153MR)
REP 408 Review of the implementation of RG 148: Platforms that are managed investment schemes (see 14-232MR)
Related information
Regulatory resources > Managed funds > Platforms
Infrastructure entities
RG 231 Infrastructure entities: Improving disclosure for retail investors
REP 272 Response to CP 134 and CP 154 Infrastructure entities: Improving disclosure for retail investors
Initial coin offerings
INFO 225 Initial coin offerings
Litigation funding schemes
22-368MR ASIC amends relief for litigation funding arrangements
ASIC Corporations (Litigation Funding Schemes) Instrument 2020/787
ASIC Credit (Litigation Funding—Exclusion) Instrument 2020/37
ASIC Corporations (Conditional Costs Schemes) Instrument 2020/38
ASIC Corporations (Disclosure in Dollars) Instrument 2016/767
Background
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
22-093MR ASIC extends relief from certain dollar disclosures in PDSs for litigation funding schemes
CP 345 Litigation funding schemes: Guidance and relief (see 21-168MR)
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
Money market funds
REP 324 Money market funds
Mortgage schemes
RG 45 Mortgage schemes - improving disclosure for retail investors
RG 144 Mortgage investment schemes
ASIC Corporations (Mortgage Investment Schemes) Instrument 2017/857
Primary production schemes
REP 17 Compliance with advice and disclosure obligations: Report on primary production schemes
Background
Regulatory index topic: Funds Management: Types of schemes - Horse schemes
Serviced strata schemes and management rights schemes
RG 140 Serviced strata schemes
ASIC Corporations (Serviced apartment and like schemes) Instrument 2016/869
Share and interest purchase plans
19-233MR ASIC remakes ‘sunsetting’ class order facilitating the offer of share and interest purchase plans
Related information
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)
Time-sharing schemes
Background
20-321MR ASIC releases updated regulatory guide on time-sharing schemes
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)
Related information
Home > Regulatory resources > Funds management > Time-sharing schemes
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)
Wholesale equity schemes
RG 192 Licensing: Wholesale equity schemes (see 18-254MR)
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
Relief
This section contains:
Applying for relief
Relief applications now lodged through the ASIC Regulatory Portal
Related information
- Home > About ASIC > Dealing with ASIC > Apply for relief > Changes to how you apply for relief
Overview
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
Regulatory Guides
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
Related information
Regulatory index topic: Financial services - Getting an AFS licence
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
ASIC's product intervention power
20-139MR ASIC releases guidance on its product intervention power
Related information
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)
Product design and distribution obligations
20-320MR ASIC releases regulatory guide on product design and distribution obligations
Related information
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
Industry funding
Related information
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