Other entities
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.
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- Regulatory index topic: Getting an AFS Licence
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Foreign companies
This section contains:
- Overview
- Post registration obligations
- Foreign financial services providers
- Foreign disclosure documents - mutual recognition
- Takeovers and reconstructions
- Foreign targets
- Scrip bids
- Overseas markets
- Exemptions
Overview
INFO 32 Foreign companies
INFO 66 Restoration of the names of registrable Australian bodies and foreign companies to the register
Post registration obligations
RG 13 ACN, ARBN and company names
RG 58 Reporting requirements – registered foreign companies and Australian companies with foreign company shareholders
RG 64 Failure to lodge documents
RG 72 Foreign securities prospectus relief
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
Foreign financial services providers
20-058MR Following consultation, ASIC releases new regulatory framework for foreign financial services providers (see also 19-171MR)
Related information
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198
ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199
REP 656 Response to submissions on CP 301 and CP 315 on foreign financial services providers (see CP 301 and submissions; and CP 315 and submissions)
21-131MR ASIC extends transitional relief for foreign financial services providers following Federal Budget
ASIC Corporations (Repeal and Transitional) Instrument 2016/396
ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182
ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109
RG 54 Principles for cross border financial services regulation
RG 121 Doing financial services business in Australia
RG 178 Foreign collective investment schemes
ASIC Corporations (Foreign Securities – Incidental Advertising) Instrument 2015/360
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109 (see 19-247MR)
REP 519 Response to submissions on CP 268 Licensing relief for FFSPs with a limited connection to Australia (see CP 268 and submissions)
INFO 157 Practical guidance for foreign financial service providers (see 19-076MR)
Foreign disclosure documents - mutual recognition
RG 72 Foreign securities disclosure relief
RG 163 Takeovers: Minimum bid price principle (s621)
RG 190 Offering securities in New Zealand and Australia under mutual recognition
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests
ASIC Corporations (Compromises or Arrangements) Instrument 2015/358
ASIC Corporations (Foreign Rights Issues) Instrument 2015/356
ASIC Corporations (Foreign Scrip Bids) Instrument 2015/357
ASIC Corporations (Foreign Securities—Incidental Advertising) Instrument 2015/360
ASIC Corporations (Foreign Securities—Publishing Notices) Instrument 2015/359
ASIC Corporations (Foreign Small-Scale Offers) Instrument 2015/362
Takeovers and reconstructions
Foreign targets
RG 71 Downstream acquisitions
Scrip bids
RG 72 Foreign securities prospectus relief
CO 13/525 On-sale disclosure relief for scrip bids and schemes of arrangement
Related information
Home > Regulatory resources > Takeovers
Regulatory index topic: Takeovers and reconstructions
Overseas markets
RG 172 Financial markets: Domestic and overseas operators
RG 72 Foreign securities prospectus relief
RG 163 Takeovers: Minimum bid price principle
RG 253 Fundraising: Facilitating offers of CHESS Depository Interests
ASIC Corporations (Foreign Securities – Small-Scale Offers) Instrument 2015/362
ASIC Corporations (Approved Foreign Financial Markets) Instrument 2015/1071
ASIC Corporations (Foreign Small-Scale Offers) Instrument 2015/362
ASIC Corporations (Definition of Approved Foreign Market) Instrument 2017/669
CO 04/443 Licensing relief for offshore participants in the market operated by Eurex Frankfurt AG
CO 04/444 Licensing relief for offshore participants in the market operated by Chicago Mercantile Exchange Inc.
CO 04/829 US CFTC regulated financial services providers
CO 04/1313 Germany BaFin regulated financial service providers
CO 05/84 JSE Securities Exchange South Africa added to ASIC's downstream acquisition takeover relief
CO 14/827 Offers of CHESS depository interests
INFO 252 Managing conduct risk during LIBOR transition (see 20-304MR, 20-083MR and 19-107MR)
REP 134 Enhancing capital flows into and out of Australia
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests
REP 652 Wholesale FX practices in Australia (see 19-364MR)
19-043MR Abu Dhabi Global Market and ASIC sign agreement to enhance collaboration
19-080MR UK Financial Conduct Authority and Australian Securities and Investments Commission agree to strengthen cooperation post-Brexit
Exemptions
CO 04/443 Licensing relief for offshore participants in the market operated by Eurex Frankfurt AG
CO 04/444 Licensing relief for offshore participants in the market operated by Chicago Mercantile Exchange Inc.
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186
INFO 217 Licensing relief for low volume financial markets
Registrable Australian bodies
INFO 60 Registrable Australian bodies
INFO 66 Restoration of the names of registrable Australian bodies and foreign companies to the register
Small businesses
This section contains:
News
REP 756 Review of small business restructuring process (see 23-007MR)
Background
ASIC Small Business Strategy 2017-2020 (PDF 178 KB - see 17-279MR)
18-294MR ASIC continues small business focus for 2018-19
19-032MR ASIC to pursue harsher penalties after laws passed by Senate
19-035MR ASIC update on implementation of Royal Commission recommendations
19-115MR Doing the right thing by your customers: ASIC consults on lifting standards and transparency of complaints handling
19-231MR ASIC outlines priorities for small business in 2019-20
Insolvency laws for small business are changing from 1 January 2020 (news item 29/12/2019)
Information for small business during COVID-19 (news item 2/6/2020)
COVID-19: closing a company and where to get help (news item 22/6/2020)
COVID-19: what to do if your SME is struggling financially (news item 22/6/2020)
End of COVID-19 deferrals and payments (news item 23 June 2020)
What to do if your small business is owed money (news item 19 October 2020)
What to do if your small business faces financial difficulty (news item 2 December 2020)
Company facing challenges? Information for company directors (news item 2 December 2020)
Importance of seeking advice: information for company directors (news item 2 December 2020)
Is your small business insured for storms, floods, bushfires and other natural disasters? (news item 17 December 2020)
Director resignations: new laws apply from 18 February 2021 (news item 17 February 2021)
Unfair contract term protections for small businesses (news item 1 April 2021)
Scammers taking advantage of COVID-19 to target small businesses (news item 26 May 2021)
No business is too small for a cyber security strategy (news item 18 August 2021)
New ID requirement for directors (news item 1 November 2021)
ASIC warns small businesses to be vigilant about payment redirection scams (news item 25 July 2022)
Alert: Scammers pretending to be ASIC approaching Registry customers via email (news item 28 October 2022)
Related information
Home > For business > Small business
Regulatory index topic: Australian companies
Home > For business > Small business > Starting a company > Small business company directors > Resigning or removing a company director > Changes to director resignations from 18 February 2021
Home > Regulatory resources > Insolvency > Insolvency for directors > Restructuring and the restructuring plan
Regulatory guides
RG 96 Debt collection guideline: for collectors and creditors
RG 217 Duty to prevent insolvent trading: Guide for directors
Legislative intruments
ASIC Corporations (Exempt Proprietary Companies) Instrument 2015/840
ASIC Corporations (Wholly-owned Companies) Instrument 2016/785
ASIC Corporations (Whistleblower Policies) Instrument 2019/1146
Related information
Home > Regulatory resources > Financial reporting and audit > Preparers of financial reports > Relief from corporate finance provisions > Relief for wholly-owned entities under ASIC Corporations (Wholly-owned Companies) Instrument 2016/785
Information Sheets
INFO 14 Bankruptcy and personal insolvency agreements
INFO 26 Dealing with businesses and companies
INFO 41 Glossary
INFO 42 Insolvency: A guide for directors
INFO 43 Insolvency: A guide for shareholders
INFO 45 Liquidation: A guide for creditors
INFO 46 Liquidation: A guide for employees
INFO 53 Directors: What happens if a company is insolvent
INFO 54 Receivership: A guide for creditors
INFO 55 Receivership: A guide for employees
INFO 74 Voluntary administration: A guide for creditors
INFO 75 Voluntary administration: A guide for employees
INFO 84 Independence of external administrators: A guide for creditors
INFO 85 Approving fees
INFO 162 Disputes between officeholders and/or members of small proprietary companies
INFO 187 Disputes about similar business names
INFO 203 Impairment of non-financial assets: Materials for directors
INFO 208 When companies break laws that ASIC does not enforce
INFO 211 Unfair contract term protections for small businesses (see 20-248MR)
INFO 212 Concerns about illegal phoenix activities
INFO 234 Indigenous corporations
INFO 235 Reporting obligations of Indigenous corporations
INFO 236 Dispute resolution for Indigenous corporations
INFO 241 Prohibition on influencing employers’ superannuation fund choice: section 68A of the SIS Act (see 19-198MR)
INFO 247 Company officer obligations under the whistleblower protection provisions
Related information
Home > For business > Small business > Closing a small business > Illegal phoenix activity
Reports
REP 565 Unfair contract terms and small business loans (see 18-073MR)
REP 571 ASIC and small business (see 17-279MR and 18-090MR)
REP 645 Insolvency statistics: External administrators’ reports (July 2018 to June 2019) (see 19-363MR)
REP 675 Default insurance in superannuation: Member value for money (see 20-323MR)
REP 756 Review of small business restructuring process (see 22-007MR)
Articles and Speeches
Small business and ASIC (speech - PDF 144 KB - 29/8/2017)
Small business summit address: ASIC and small business (speech 31/8/2018)
ASIC's perspective on small business (speech 2/11/2018)
ASIC and small business (article 12/3/2020)
End of COVID-19 deferrals and payments (article 23 June 2020)