Australian Securities and Investments Commission – Table of regulatory documents 
Documents released during January – June 2016

New regulatory guides
Title	Release Date	Details	Media release and related documents	
RG 254 Offering securities under a disclosure agreement
	17/3/2016	This guide is for issuers who are required to prepare and lodge a disclosure document under Ch 6D of the Corporations Act 2001 (Corporations Act). 
It helps issuers and their advisers understand our interpretation and administration of the procedural aspects of Ch 6D. It seeks to provide greater certainty regarding the obligations of all parties involved in the process of preparing a disclosure document, lodging a disclosure document and offering securities for issue or sale under a disclosure document.
The procedural focus of this guide is intended to complement our other guidance on the content of disclosure documents; in particular, Regulatory Guide 228 Prospectuses: Effective disclosure for retail investors (RG 228).	MR 16-076
LI 16/70, LI 16/71, LI 16/72, LI 16/73, 
LI 16/74, LI 16/75, LI 16/76, LI 16/77, 
LI 16/78, LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	

Amended or reissued regulatory guides
Title	Release Date	Details	Media release and related documents	
RG 55 Statements in disclosure documents and PDSs: Consent to quote	17/3/2016	This regulatory guide is for persons who prepare disclosure documents and Product Disclosure Statements (PDSs). It explains how ASIC administers the requirement under s716(2) and 1013K(1) of the Corporations Act 2001 (Corporations Act) for an issuer to obtain consent before citing a person in a disclosure document or PDS (the consent requirement).
This guide is also relevant for persons preparing takeover documents, as it explains the relief we give from the consent requirement and from the requirement in s636(3) and 638(5) for a bidder or target to obtain consent to cite this information in a bidder’s or target’s statement.
Part of package updating ASIC’s guidance on fundraising, including remaking sunsetting class orders as new legislative instruments.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, 
SLI 16/171
RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
RG 66 Transaction-specific disclosure for PDSs	17/3/2016	This guide is for issuers of Product Disclosure Statements (PDSs) and their advisers.
It sets out our policy on the use of transaction-specific PDSs under s1013FA of the Corporations Act 2001 (Corporations Act), describes the relief available to a disclosing entity that issues interests in registered managed investment schemes and outlines the circumstances in which we may exercise ASIC’s determination powers under s1013FA(3).
NOTE: Title has changed from: ‘Transaction-specific disclosure’
Part of package updating ASIC’s guidance on fundraising, including remaking sunsetting class orders as new legislative instruments.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, 
SLI 16/171
RG 55, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
RG 173 Disclosure for on-sale of securities and other financial products	17/3/2016	This guide is for listed companies and listed managed investment schemes. 
It outlines the circumstances in which we will provide relief from the disclosure requirements under the Corporations Act 2001 (Corporations Act) for the on-sale of securities and other financial products.
Part of package updating ASIC’s guidance on fundraising, including remaking sunsetting class orders as new legislative instruments.
	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, 
SLI 16/171
RG 55, RG 66, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
RG 189 Disclosure relief for rights	17/3/2016	This is a guide for listed companies and managed investment schemes (and their advisers) about rights issues and the disclosure exemption in s708AA and 1012DAA of the Corporations Act 2001 (Corporations Act).
This guide explains how ASIC Corporations (Non-Traditional Rights Issues) Instrument 2016/84 modifies the disclosure exemption so that it extends to certain non-traditional rights issues, such as accelerated rights issues. The instrument also gives technical relief for foreign holders, stapled securities and rounding of entitlements. It also modifies the on-sale provisions in s708A and 1012DA.
Entities planning to rely on the disclosure exemption for any rights issue should refer to this guide for an explanation of how our relief modifies the provisions.
Part of package updating ASIC’s guidance on fundraising, including remaking sunsetting class orders as new legislative instruments.
	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, 
SLI 16/171
RG 55, RG 66, RG 173, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
RG 228 Prospectuses: Effective disclosure for retail investors	17/3/2016	This guide is for issuers and advisers on how to word and present prospectuses and other documents in a ‘clear, concise and effective’ manner. 
This guide also sets out our guidance about how to prepare prospectuses that satisfy the content requirements in s710 of the Corporations Act 2001 (Corporations Act).
Part of package updating ASIC’s guidance on fundraising, including remaking sunsetting class orders as new legislative instruments.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, 
SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
RG 185 Non-cash payment facilities	24/3/2016	This guide sets out our approach to regulating non-cash payment (NCP) facilities under the Corporations Act 2001 (Corporations Act).
This guide was updated in March 2016 following the repeal of certain class orders (some of which were due to sunset under the Legislation Act 2003), which have been remade as ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211.	MR 16-087
LI 16/211
SLI 16/212	
RG 221 Facilitating digital financial services disclosures	24/3/2016	This is a guide for financial services providers that use (or plan to use) technology, including email and the internet, to deliver financial product and financial services disclosures to clients. It:
•	explains how under Pts 7.6–7.9 of the Corporations Act 2001 (Corporations Act) most disclosures can be delivered digitally;
•	outlines our view that in most cases it will be clear from the context that a client has provided or nominated their electronic address for the purpose of receiving disclosure under the Corporations Act, and no higher standard of consent is required to send to an electronic address compared to non-electronic methods;
•	describes the relief available under ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647 to facilitate the delivery of disclosures by making the disclosure available digitally and notifying the client; 
•	describes the relief available under ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649 to remove potential barriers to more innovative disclosure; and
•	sets out our ‘good practice guidance’ on digital disclosure.
ASIC has updated Regulatory Guide 221 Facilitating digital financial services disclosure (RG 221), making minor changes that:
•	refer to ASIC’s modification of the ePayments Code;
•	indicate that ASIC’s general guidance on digital disclosure is also relevant to information given under the ePayments Code; and
•	update ASIC’s guidance to include recent technical amendments ASIC made to its relief under the Corporations Act.	MR 16-095
ePayments Code	
RG 184 Superannuation: Delivery of product disclosure for investment strategies	19/4/2016	This guide helps trustees of superannuation entities (trustees) to comply with the product disclosure requirements in s1012IA of the Corporations Act 2001 (Corporations Act).
It explains:
•	the requirements that apply to trustees who offer a choice of investment strategies to members, where any of those strategies includes specific financial products (accessible financial products) that will be acquired under the member’s choice of strategy, and
•	the relief we provide from the disclosure requirements.
Paragraph numbering corrected.	No MR	
RG 167 Licensing: Discretionary powers	21/4/2016	This guide is for Australian financial services (AFS) licensees and financial services providers.
It explains:
•	our approach to applications for relief from compliance with Pts 7.6–7.8 (other than Divs 4 and 8 of Pt 7.6 and Div 8 of Pt 7.8) of the Corporations Act 2001 (Corporations Act);
•	how we use our powers to impose AFS licence conditions to support the AFS licensee obligations under the Corporations Act; and
•	our approach to relief for securitisation special purpose vehicles and for providers of generic financial calculators.
ASIC has released updated regulatory guidance on ASIC’s relief for generic financial calculators in Section D and ASIC’s relief for securitisation special purpose vehicles in Section C of Regulatory Guide 167 Licensing: Discretionary powers (RG 167).
The updated guidance was necessary because ASIC remade legislative instruments which were due to sunet.	MR 16-120
MR 16-121
RG 167
LI 16/207
SLI 16/230
REP 477
LI 16/272
SLI 16/273	
RG 36 Licensing: Financial product advice and dealing	8/6/2016	This guide is for persons who provide financial product advice or deal in a financial product as defined in the Corporations Act 2001 (Corporations Act) and their professional advisers (such as lawyers).
It gives guidance on the meaning of ‘provide financial product advice’ and the meaning of ‘deal in a financial product’. It also provides guidance on the obligations that apply to providers of financial services.
Revised to take account of a new legislative instrument ASIC made on 1 June 2016 to replace Class Order [CO 03/606] Financial product advice — exempt documents that was due to expire (‘sunset’) on 1 April 2017. The new legislative instrument is ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356.  The instrument has the same effect as [CO 03/606].	MR 16-201
LI 16/356
SLI 16/452
	
RG 180 Auditor registration	30/6/2016	This is a guide for auditors and prospective auditors who wish to audit companies and other entities under the Corporations Act 2001 (Corporations Act). 
This guide explains what an applicant must do when applying for registration as a registered company auditor (RCA) or as an authorised audit company (AAC), and how we may exercise our power to approve an auditing competency standard, which may be relied on by individual applicants for registration. 
This guide also covers the lodgement of annual statements by RCAs and AACs.
ASIC has released revised Regulatory Guide 180 Auditor registration (RG 180) which simplifies and improves the registration process for prospective auditors.
The changes to RG 180 concern:
•	approval of a new competency standard for satisfying practical experience requirements;
•	reducing the paperwork and information required for satisfying an hours-based experience test; and
•	updating the professional indemnity insurance requirements for authorised audit companies and new registered company auditors.	MR 16-210
PF 215
PF 216
PF 217	

Legislative instruments
Title	Dates	Details	Media release and related documents	
ASIC Corporations (Amendment) Instrument 2016/45	Issued 8/2/2016
Registered 11/2/2016: F2016L00104
Effective 12/2/2016 (day after registration)
Automatic repeal under Part 5A LIA	ASIC Corporations (Amendment) Instrument 2016/45 amends Class Order [CO 14/632] Key management personnel equity instrument disclosures, which provides conditional relief in relation to equity instrument disclosures relating to key management personnel.	No MR	
ASIC Credit (Amendment) Instrument 2016/62	Issued 8/2/2016
Registered 11/2/2016: F2016L00105
Effective 12/2/2016 (day after registration)
Automatic repeal under Part 5A LIA	ASIC Credit (Amendment) Instrument 2016/62 extends the relief granted by Class Order [CO 14/41] Extension of transitional credit hardship provisions  for a further 2 years until 1 March 2018.	No MR	
ASIC Corporations (Amendment) Instrument 2016/103	Issued 16/2/2016
Registered 18/2/2016: F2016L00121
Effective 19/2/2016 (day after registration)
Automatic repeal under Part 5A LIA	ASIC Corporations (Amendment) Instrument 2016/103 amends the ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647 to simplify the disclosure notification involved in the ‘publish and notify’ method of disclosure and to enable default superannuation fund trustees to use the 'publish and notify' method of disclosure, using an employer provided electronic address and to ensure that successor funds can use an employer provided email address that was provided to a predecessor fund.	No MR	
ASIC Corporations (Superannuation: Accrued Default Amount and Intra-Fund Transfers) Instrument 2016/64	Issued 23/2/2016
Registered 1/3/2016: F2016L00205
Effective 2/3/2016 
(day after registration)	ASIC Corporations (Superannuation: Accrued Default Amount and Intra-Fund Transfers) Instrument 2016/64 provides relief from the application form and cooling-off requirements for the movement of an accrued default amount to a MySuper product and intra-fund transfers.	MR 16-054
LI 16/65
SLI 16/66
REP 472	
ASIC Corporations (Superannuation: Investment Strategies) Instrument 2016/65	Issued 23/2/2016
Registered 1/3/2016: F2016L00204
Effective 2/3/2016 
(day after registration)	ASIC Corporations (Superannuation: Investment Strategies) Instrument 2016/65 modifies the Product Disclosure Statement requirements in Part 7.9 of the Corporations Act where a superannuation trustee allows a member of a superannuation fund to select an investment strategy under which the trustee may acquire a financial product to be held on behalf of the member.	MR 16-054
LI 16/64
SLI 16/66	
ASIC Corporations (Amendment and Repeal) Instrument 2016/66	Issued 23/2/2016
Registered 1/3/2016: F2016L00203
Effective 2/3/2016 
(day after registration)
Automatic repeal under Part 5A LIA	ASIC Corporations (Amendment and Repeal) Instrument 2016/66 has  the effect of repealing Class Orders [CO 02/968] Interim relief from financial reporting obligations for companies in external administration, [CO 04/1574] Application form and cooling-off relief for certain transfers of members between financial products and interests within a superannuation fund (via an amendment to Class Order [CO 05/1270] Operation of certain instruments) and [CO 06/636] Superannuation: Delivery of product disclosure for investment strategies.	MR 16-054
LI 16/64
LI 16/65	
ASIC Corporations (Amendment) Instrument 2016/56	Issued 9/3/2016
Registered 11/3/2016: F2016L00298
Effective 12/3/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2016/56 amends Class Order [CO 12/749] Relief from the Shorter PDS regime to postpone the expiry date from 22 June 2016 to 30 June 2017.	No MR	
ASIC Corporations (Minimum Subscription and Quotation Conditions) Instrument 2016/70	Issued 9/3/2016
Registered 16/3/2016: F2016L00328
Effective 17/3/2016 (day after registration)	ASIC Corporations (Minimum Subscription and Quotation Conditions) Instrument 2016/70 modifies s723 and 724 of the Corporations Act to provide a mechanism for issuers to vary the minimum subscription and quotation conditions which may apply to an offer of securities under a disclosure document, including by extending the relevant time periods by which these conditions must be satisfied.
This instrument also modifies s723 and 724 of the Corporations Act to clarify how these time periods are calculated where a supplementary or replacement disclosure document, or a refresh document, has been lodged.	MR 16-076
LI 16/71, LI 16/72, LI 16/73, LI 16/74, LI 16/75, LI 16/76, LI 16/77, LI 16/78, LI 16/79, LI 16/80, LI 16/81, LI 16/82, LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Regulatory Capital Securities) Instrument 2016/71	Issued 9/3/2016
Registered 16/3/2016: F2016L00322
Effective 17/3/2016 (day after registration)	ASIC Corporations (Regulatory Capital Securities) Instrument 2016/71modifies s9, 708A and 713 of the Corporations Act to allow the offer of regulatory capital securities (being certain types of convertible or converting notes or convertible or converting preference shares of a body, which if converted or exchanged at the time they are issued, would convert into or be exchanged for continuously quoted securities) to be made using a prospectus that complies with s713 of the Act rather than s710, and provides on-sale relief for the underlying securities issued on conversion or exchange. 
This instrument also modifies s9 and 708A of the Corporations Act to provide on-sale relief for the underlying securities issued on conversion or exchange of regulatory capital securities which were offered without disclosure under Part 6D.2 of the Act, where a notice containing prospectus-like disclosures was provided at the time the regulatory capital securities were issued.	MR 16-076
LI 16/70, LI 16/72, LI 16/73, 
LI 16/74, LI 16/75, LI 16/76, 
LI 16/77, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Consents to Statements) Instrument 2016/72	Issued 11/3/2016
Registered 16/3/2016: F2016L00326
Effective 17/3/2016 (day after registration)	ASIC Corporations (Consents to Statements) Instrument 2016/72 modifies subsections 636(3), 638(5), 716(2) and 1013K(1) of the Corporations Act, to permit particular information to be included, without the consent of the owner of that information, in a disclosure document (under Chapter 6D), product disclosure statement (under Part 7.9) and a bidder’s statement or target’s statement (under Chapter 6).	MR 16-076
LI 16/70, LI 16/71, LI 16/73, 
LI 16/74, LI 16/75, LI 16/76, 
LI 16/77, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73	Issued 9/3/2016
Registered 16/3/2016: F2016L00327
Effective 17/3/2016 (day after registration)	ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73 gives relief to ensure that the ability of entities to use transaction specific disclosures and rely on “cleansing notice” exemptions and exemptions applying to rights issues under the Corporations Act is not adversely affected by certain technical relief instruments defined in the instrument.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/74, LI 16/75, LI 16/76, 
LI 16/77, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Exposure Period) Instrument 2016/74	Issued 9/3/2016
Registered 16/3/2016: F2016L00347
Effective 17/3/2016 (day after registration)	ASIC Corporations (Exposure Period) Instrument 2016/74 sets out four exemptions from s727(3) or 1016B(1) of the Corporations Act, that would otherwise apply an exposure period in certain circumstances to (a) offers of securities made under supplementary and replacement disclosure documents; (b) offers of options to acquire quoted securities; (c) offers of quoted securities, and (d) managed investment products able to be traded on a market.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/75, LI 16/76, 
LI 16/77, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Debenture Prospectuses) Instrument 2016/75	Issued 9/3/2016
Registered 16/3/2016: F2016L00343
Effective 17/3/2016 (day after registration)	ASIC Corporations (Debenture Prospectuses) Instrument 2016/75 provides relief from the prospectus content requirements set out in Chapter 6D of the Corporations Act in relation to offers of debentures by a body in the ordinary course of its business to allow the interest rate and term information relating to the offer to be set out in the most recent application form lodged with ASIC from time to time or to be easily accessed by applicants by other means free of charge, rather than in the prospectus itself.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/76, 
LI 16/77, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Offer Information Statements) Instrument 2016/76	Issued 9/3/2016
Registered 16/3/2016: F2016L00344
Effective 17/3/2016 (day after registration)	ASIC Corporations (Offer Information Statements) Instrument 2016/76 addresses discrete minor and technical issues arising in relation to the content requirements for an offer information statement under subsection 715(2) of the Corporations Act, to enable the period for the financial report included in an offer information statement to be longer or shorter than 12 months by up to seven days.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/77, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Options: Bonus Issues) Instrument 2016/77	Issued 9/3/2016
Registered 16/3/2016: F2016L00346
Effective 17/3/2016 (day after registration)	ASIC Corporations (Options: Bonus Issues) Instrument 2016/77 addresses discrete minor and technical issues arising in relation to the operation of a certain procedural element of Chapter 6D of the Corporations Act in circumstances where a particular form of offer is made: a pro-rata bonus issue of options to existing members of a company for nil consideration. This instrument provides relief from the application form and advertising requirements set out in Chapter 6D in relation to offers of securities	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/78, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Substituted Supplementary Disclosure Documents) Instrument 2016/78	Issued 9/3/2016
Registered 16/3/2016: F2016L00323
Effective 17/3/2016 (day after registration)	ASIC Corporations (Substituted Supplementary Disclosure Documents) Instrument 2016/78 addresses the practical ramifications arising when multiple supplementary disclosure documents are lodged under paragraph 719(2)(d) of the Corporations Act. This instrument provides a conditional exemption from paragraph 719(2)(d) by allowing supplementary documents to be consolidated (in circumstances where an issuer lodges more than one supplementary document).	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/79, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Market Research and Roadshows) Instrument 2016/79	Issued 9/3/2016
Registered 16/3/2016: F2016L00324
Effective 17/3/2016 (day after registration)	ASIC Corporations (Market Research and Roadshows) Instrument 2016/79 exempts persons from the restrictions in s734 and 1018A(2) of the Corporations Act in relation to statements made in certain discrete circumstances: (a) market research; and (b) offers by subsidiaries.
This instrument also exempts persons from the requirements in Part 6D.2 and Part 6D.3 of the Corporations Act in relation to roadshow presentations of intended offers of securities.
This instrument also modifies s734 of the Corporations Act to insert a reference to “electronic media” in s734(7) and (8) to ensure consistency with analogous provisions contained in Chapter 7 of the Corporations Act .	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/80, LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Sale Offers That Do Not Need Disclosure) Instrument 2016/80	Issued 9/3/2016
Registered 16/3/2016: F2016L00325
Effective 17/3/2016 (day after registration)	ASIC Corporations (Sale Offers That Do Not Need Disclosure) Instrument 2016/80 modifies sections 707 and 1012C of the Corporations Act to provide on-sale relief in relation to securities or interests in a managed investment scheme, where those securities or interests were issued without disclosure under a statutory exemption, or in reliance on ASIC relief that applies in similar circumstances.
This instrument also modifies sections 708A and 1012DA of the Corporations Act so that certain disclosure exemptions for sale offers also apply to stapled securities.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79,  LI 16/81, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Sale Offers By Controllers) Instrument 2016/81	Issued 9/3/2016
Registered 16/3/2016: F2016L00331
Effective 17/3/2016 (day after registration)	ASIC Corporations (Sale Offers By Controllers) Instrument 2016/81makes minor and technical modifications to sections 707, 708A, 1012C and 1012DA of the Corporations Act, to ensure the effective operation of the exemptions under sections 708A and 1012DA for sale offers made within 12 months of a controller sale.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/82, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Sales Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82	Issued 9/3/2016
Registered 16/3/2016: F2016L00332
Effective 17/3/2016 (day after registration)	ASIC Corporations (Sales Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82 modifies s9, 708A and 1012DA of the Corporations Act so that the quoted securities underlying convertible notes can be on-sold without a prospectus if a cleansing notice containing prospectus-like disclosure is provided to the relevant market operator at the time the convertible notes are issued.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/83, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Offers of Convertibles) Instrument 2016/83	Issued 9/3/2016
Registered 16/3/2016: F2016L00333
Effective 17/3/2016 (day after registration)	ASIC Corporations (Offers of Convertibles) Instrument 2016/83 modifies section 713 of the Corporations Act to allow the offer of convertible or converting notes or convertible or converting preference shares of a body that are convertible or may convert into continuously quoted securities of the body to be made based on information required by s713 instead of s710.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/84, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Non-Traditional Rights Issues) Instrument 2016/84	Issued 9/3/2016
Registered 16/3/2016: F2016L00334
Effective 17/3/2016 (day after registration)	ASIC Corporations (Non-Traditional Rights Issues) Instrument 2016/84 provides relief to enable an issuer to rely on the rights issue disclosure exemption for a non-traditional rights issue that gives existing holders an equal opportunity to participate and does not compromise investor protection.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Corporations (Repeal) Instrument 2016/171	Issued 9/3/2016
Registered 16/3/2016: F2016L00335
Effective 17/3/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/171 repeals the following 31 class orders which relate primarily to the fundraising provisions in Chapter 6D of the Corporations Act: [CO 00/0167] Relief from exposure period: profile statements; [CO 00/168] Relief from exposure period: quoted securities; [CO 00/0169] Relief from exposure period: Supplementary and replacement prospectuses; [CO 00/0172] Offer information statements: relief in relation to financial statements; [CO 00/0173] Debenture prospectuses: Incorporation of information on application forms; [CO 00/0174] Debenture prospectuses: updating of interest rate and term information; [CO 00/175] Pre-prospectus roadshow presentations; [CO 00/176] Pre-prospectus market research; [CO 00/0177] Fundraising exemption: NZ prospectuses; [CO 00/0190] Substituting and consolidating supplementary disclosure documents; [CO 00/0195] Offer of convertible securities under s713; [CO 00/222] Employee share schemes — miscellaneous fundraising relief; [CO 00/229] Solicitors mortgage investment companies; [CO 00/238] Dividend reinvestment plans; [CO 00/656] Announcements to securities exchanges about offers by subsidiaries of the listed body; [CO 00/843] Options over listed securities: exposure period relief; [CO 00/1092] Application form relief for bonus issues of options; [CO 01/1455] Continuously quoted securities; [CO 02/0138] Announcements to financial markets by holding companies about financial products other than securities; [CO 02/0141] Experts: citing in Product Disclosure Statements; [CO 02/0143]	Financial product market research; [CO 02/0145]	 Relief from exposure period: managed investment products able to be traded on a licensed market; [CO 04/671]	Disclosure for on-sale of securities and other financial products; [CO 04/672] Extension of on-sales exemptions; [CO 07/428] Consent to quote: Citing trading data and geological reports in disclosure documents and PDS; [CO 07/429] Consent to quote: Citing trading data and geological reports in takeovers; [CO 07/571] Disclosure exemption for rights issues; [CO 08/25] Sale offers within 12 months after controller sales; [CO 08/35] Disclosure relief for rights issues; [CO 10/322] On-sale for convertible notes issued to wholesale investors; and [CO 13/523] Citation of experts and consent to quote.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
REP 473
Withdrawn: RG 23, RG 56, RG 99, RG 152, RG 155, RG 157, RG 158, RG 213	
ASIC Credit (Updated details for prescribed disclosure) Instrument 2016/200	Issued 11/3/2016
Registered 15/3/2016: F2016L00319
Effective 16/3/2016 (day after registration)	ASIC Credit (Updated details for prescribed disclosure) Instrument 2016/200 modifies the prescribed Reverse Mortgage Information Statement in Schedule 5A of the National Consumer Credit Protection Regulations 2010 (Regulations) and prescribed warnings in relation to small amount credit contracts in Schedules 7 and 9 of the Regulations to update contact details and information that is no longer correct.  	No MR	
ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211	Issued 18/3/2016
Registered 22/3/2016: F2016L00367
Effective 23/3/2016 (same date as 2016/212)	ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211provides relief for travellers' cheques, loyalty schemes, road toll facilities, low value facilities, gift facilities and prepaid mobile payment facilities. Instrument also exempts licensees from requiring a payment product authorisation in order to advise their clients on, and arrange for their clients to deal in, payments products they use to pay third parties.	MR 16-087
SLI 16/211	
ASIC Corporations (Repeal) Instrument 2016/212	Issued 18/3/2016
Registered 22/3/2016: F2016L00370
Gazetted 22/3/2016: ASIC Gazette A13/16
Effective 23/3/2016 (later of gazettal or day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/212 repeals the following seven class orders relating to non-cash payments:
•	[CO 02/1075] Traveller's cheques and confirmation of transactions
•	[CO 03/705] Non-cash payment facilities — licensing exemption
•	[CO 05/736] Low value non-cash payment facilities
•	[CO 05/737] Loyalty schemes
•	[CO 05/738] Gift facilities
•	[CO 05/739] Road toll facilities
•	[CO 05/740] Prepaid mobile facilities
The effect of the repealed class orders has been preserved in the ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211.	MR 16-087
LI 16/211
	
ASIC Corporations (Generic Calculators) Instrument 2016/207	Issued 18/3/2016
Registered 30/3/2016: F2016L00438
Effective 31/3/2016 (day after registration)	ASIC Corporations (Generic Calculators) Instrument 2016/207 provides relief from the requirement to hold a financial service licence and the personal advice regime in Div 3 of Pt 7.7  for generic financial calculators.	MR 16-120
SLI 16/230
RG 167 (reissued 21/4/2016)
REP 447 (issued 21/4/2016)	
ASIC Corporations (Repeal) Instrument 2016/230	Issued 18/3/2016
Registered 30/3/2016: F2016L00434
Effective 31/3/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/230 repeals Class Order [CO 05/1122] Relief for providers of generic calculators.	MR 16-120
LI 16/207
RG 167 (reissued 21/4/2016)
REP 477 (issued 21/4/2016)
	
ASIC Corporations (Electronic Lodgment of Financial Reports) Instrument 2016/181	Issued 24/3/2016
Registered 31/3/2016: F2016L00452
Effective 4/1/2016 
(day after registration)	ASIC Corporations (Electronic Lodgment of Financial Reports) Instrument 2016/181 remakes existing class orders allowing dual and electronic lodgement of reports with ASIC and market operators	MR 16-101
SLI 16/182
LI 16/186
LI 16/191	
ASIC Corporations (Amendment and Repeal) Instrument 2016/182	Issued 24/3/2016
Registered 31/3/2016: F2016L00453
Gazetted 29/3/2016: ASIC Gazette A14/16
Effective 1/4/2016 
(later of gazettal or day after registration)
Automatic repeal under s48A Legislation Act 	ASIC Corporations (Amendment and Repeal) Instrument 2016/182 repeals the following existing sunsetting class orders which have been remade as a single instrument:
•	[CO 98/100] Rounding in financial reports and driectors' reports
•	[CO 98/104] Dual lodgment relief
•	[CO 00/2451] Electronic lodgment of certain reports with the ASX - approval
•	[CO 03/823] Relief from licensing, accounting and audit requirements for foreign authorised deposit-taking institutions
•	[CO 06/6] Dual lodgment relief for NSX-listed disclosing entities
•	[CO 06/68] Conditional relief for foreign licensees from financial reporting and record keeping obligations
ASIC Corporations (Amendment and Repeal) Instrument 2016/182 also amends:
•	ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73; and
•	Class Order [CO 09/425] Share and interest purchase plans.	MR 16-101
LI 16/181
LI 16/186
LI 16/191	
ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186	Issued 24/3/2016
Registered 31/3/2016: F2016L00451
Effective 1/4/2016 
(day after registration)	ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186 relieves foreign licensees and ADIs from certain financial reporting, record keeping and licencing provisions of the Corporations Act.	MR 16-100
LI 16/181
SLI 16/182
LI 16/191	
ASIC Corporations (Rounding in Financial/Directors’ Reports) Instrument 2016/191	Issued 24/3/2016
Registered 31/3/2016: F2016L00442
Effective 1/4/2016 
(day after registration)	ASIC Corporations (Rounding in Financial/Directors’ Reports) Instrument 2016/191 allows entities to round amounts disclosed in financial and directors' reports, generally to the nearest thousand dollars.	MR 16-101
MR 16-273 (issued 26/8/2016)
LI 16/181
SLI 16/182
LI 16/186	
ASIC Corporations (Securitisation Special Purpose Vehicles) Instrument 2016/272	Issued 29/3/2016
Registered 31/3/2016: F2016L00457
Effective 1/4/2016 (same date as 2016/273)	ASIC Corporations (Securitisation Special Purpose Vehicles) Instrument 2016/272 provides relief from the requirement to hold an AFS licence to securitisation entities in the securitisation industry.	MR 16-121
SLI 16/273
RG 167 (reissued 21/4/2016)

ASIC Corporations (Repeal) Instrument 2016/273	Issued 29/3/2016
Registered 31/3/2016: F2016L00459
Gazetted 31/3/2016: ASIC Gazette A15/16
Effective 31/3/2016 (later of gazettal or registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/273 repeals [CO 05/1270] Operation of certain instruments.	MR 16-121
LI 16/272
RG 167 (reissued 21/4/2016)	
ASIC Corporations (Amendment) Instrument 2016/351	Issued 22/4/2016
Registered 27/4/2016: F2016L00575
Effective 28/4/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2016/351amends Class Order [CO 14/443] Deferral of choice product dashboard and portfolio holdings disclosure regimes to extend, by 12 months, the commencement date of the choice product dashboard regime (to 1 Jul 2017) and the first reporting date for portfolio holdings disclosure (to 31 Dec 2017).	MR 16-130
SLI 16/345
SLI 16/364	
ASIC Superannuation (Amendment) Instrument 2016/345	Issued 27/4/2016
Registered 28/4/2016: F2016L00587
Effective 29/4/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Superannuation (Amendment) Instrument 2016/345 amends ASIC Class Order [CO 14/509] Keeping RSEs’ superannuation websites up to date to defer the start date until 1 July 2017 for certain disclosures required under subsection 29QB(1) of the SIS Act for standard employer-sponsored sub-plans, giving RSE licensees enough time to comply with the full requirements of s 29QB.	MR 16-130
SLI 16/351
SLI 16/364	
ASIC Corporations (Amendment) Instrument 2016/364	Issued 29/4/2016
Registered 3/5/2016: F2016L00631
Effective 4/5/2016 
(day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2016/364 extends, by 12 months, the commencement date of the requirement to include product dashboards in periodic statements (to 1 Jul 2017) and obligations of first parties and agents to give notice relating to investment of assets (to 30 June 2017), by amending the following class orders:
•	[CO 13/1534] Deferral of Stronger Super amendments in relation to PDS and periodic statement disclosure; and
•	[CO 14/443] Deferral of choice product dashboard and portfolio holdings disclosure regimes.	MR 16-130
SLI 16/351
SLI 16/345	
ASIC Corporations (Amendment) Instrument 2016/397	Issued 11/5/2016
Registered 12/5/2016: F2016L00789
Effective 13/5/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2016/397extends the interim relief given by Class Order [CO 14/1262] Relief for 31 day notice term deposits until 30 June 2017	No MR	
ASIC Corporations (Superannuation and Schemes: Underlying Investments) Instrument 2016/378	Issued 12/5/2016
Registered 16/5/2016: F2016L00802
Effective 17/5/2016 (day after registration)	ASIC Corporations (Superannuation and Schemes: Underlying Investments) Instrument 2016/378 continues, with minor and technical changes, the relief given under Class Orders: 
•	[CO 02/1073] Financial Services Guide — dealing in underlying investments by responsible entities, 
•	CO 02/1074] Financial Services Guide — dealing in underlying investments by superannuation trustees; and 
•	[CO 02/1161] Limited relief from requirement for dealing authorisation for public offer superannuation entities, 
in relation to various Chapter 7 requirements that apply to underlying investments in a superannuation fund. The Instrument combines the three Class Orders into one instrument.	MR 16-169
SLI 16/379	
ASIC Corporations (Repeal) Instrument 2016/379	Issued 12/5/2016
Registered 16/5/2016: F2016L00803
Gazetted 17/5/2016: ASIC Gazette A24/16
Effective 17/5/2016 (later of gazettal or day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/379 repeals the following  Class Orders:
•	[CO 02/1073] Financial Services Guide — dealing in underlying investments by responsible entities, 
•	[CO 02/1074] Financial Services Guide — dealing in underlying investments by superannuation trustees; and 
•	[CO 02/1161] Limited relief from requirement for dealing authorisation for public offer superannuation entities.	MR 16-169
LI 16/178	
ASIC Corporations (Repeal) Instrument 2016/391	Issued 12/5/2016
Registered 13/5/2016: F2016L00793
Effective 14/5/2016 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/391 repeals Class Order [CO 14/632] Key management personnel equity instrument disclosures.	No MR	
ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356	Issued 1/6/2016
Registered 6/6/2016: F2016L00998
Effective 8/6/2016 (same time as the commencement of SLI 16/452)	ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356 exempts persons from the requirement to hold and Australian financial services licence in respect of an exempt document or statement for the purposes of Regulation 7.1.08(3) of the Corporations Regulations 2001.	MR 16-201
SLI 16/452
RG 36	
ASIC Corporations (Repeal) Instrument 2016/452	Issued 6/6/2016
Registered 7/6/2016: F2016L01005
Gazetted  7/6/2016: ASIC Gazette A28/16
Effective 8/6/2016 
(later of gazettal or day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2016/452 repeals Class Order [CO 03/606] Financial product advice — exempt documents consequent upon the making of the ASIC Corporations (Financial Product Advice - Exempt Documents) Instrument 2016/356.	MR 16-201
LI 16/356
RG 36	
ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489	Issued 20/6/2016
Registered 21/6/2016: F2016L01050
Effective 22/6/2016 (day after registration)	ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489 provides relief to enable a responsible entity of a registered scheme to change the scheme's constitution without a members' meeting where it reasonably considers the changes to be necessary for or incidental to the scheme being able to be operated as an attribution managed investment trust. The instrument also provides relief from the requirement to treat members who hold interests of the same class equally where a responsible entity is making an attribution in accordance with requirements under the new tax system for managed investment trusts.	MR 16-198
(MR 16-176)	
ASIC Corporations (Amendment) Instrument 2016/513	Issued 22/6/2016
Registered 27/6/2016: F2016L01084
Gazetted  28/6/2016: ASIC Gazette A32/16
Effective 28/6/2016 (later of gazettal or day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2016/513 extends the transitional period for compliance with the breach reporting condition in Class Order [CO 08/1] Group purchasing bodies.	No MR	
ASIC Corporations (Amendment) Instrument 2016/514	Issued 22/6/2016
Registered 23/6/2016: F2016L01064
Effective 24/6/2016 
(day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2016/514 amends ASIC Corporations (Attribution Managed Investment Trusts) Instrument 2016/489 to clarify the procedures that may be followed by a responsible entity to change the constitution of a registered scheme in reliance on relief under that instrument where all members of the scheme acquired their interests in the scheme as wholesale clients.	MR 16-198
(MR 16-176)	
ASIC Corporations (Approval of Auditing Competency Standard) Instrument 2016/474	Issued 27/6/2016
Registered 8/7/2016: F2016L01169
Effective 9/7/2016 
(day after registration)	ASIC Corporations (Approval of Auditing Competency Standard) Instrument 2016/474 approves the Auditing Competency Standard for Registered Company Auditors dated August 2015 and issued by CPA Australia, Chartered Accountants Australia and New Zealand and the Institute of Public Accountants, as in force at the date of the instrument.	No MR
SLI 16/475	
ASIC Corporations (Revocation and Repeal) Instrument 2016/475	Issued 27/6/2016
Registered 8/7/2016: F2016L01168
Effective 9/7/2016 
(day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Revocation and Repeal) Instrument 2016/475 revokes the approval by ASIC, in Class Order [CO 14/784] Approval of auditing standard, of the Auditing Competency Standard for Registered Company Auditors issued by CPA Australia and the Institute of Chartered Accountants in Australia as at 24 November 2004. The instrument also repeals Class Order [CO 14/784]. Transitional arrangements apply.	No MR
LI 16/474	

Consultation papers
Title	Release Date	Details	Media release and related documents	
CP 250 Remaking ASIC class orders on property, strata and management rights schemes	8/2/2016
	Remaking ASIC class orders on property, strata and management rights schemes	MR 16-026
2 Attachments (Draft legislative instruments)	
CP 251 Remaking ASIC class order on financial product advice: Exempt documents—[CO 03/606]	16/2/2016	This consultation paper sets out ASIC’s proposals to remake our class order on financial product advice (exempt documents). Under the Legislative Instruments Act 2003, the class order will expire (‘sunset’) if not remade. 
We are seeking feedback on our proposal to remake, without significant changes, Class Order [CO 03/606] Financial product advice: Exempt documents, which is due to expire on 1 April 2017.
Note: The draft ASIC instrument is available on our website at www.asic.gov.au/cp under CP 251.	MR 16-033
Attachment to CP 251 (Draft legislative instrument)	
CP 252 Remaking ASIC class order on share and interest sale facilities: [CO 08/10]	16/2/2016	This consultation paper sets out ASIC’s proposals to remake our class order on share and interest sale facilities. Under the Legislative Instruments Act 2003, the class order will expire (‘sunset’) if not remade. 
We are seeking feedback on our proposal to remake, without significant changes, Class Order [CO 08/10] Share and interest sale facilities, which is due to expire on 1 April 2018.
Note: The draft ASIC instrument is available on our website at www.asic.gov.au/cp under CP 252.	MR 16-034
Attachment to CP 252 (Draft legislative instrument)	
CP 253 Remaking and repealing ASIC class orders on dollar disclosure	29/2/2016	This consultation paper sets out ASIC’s proposals to remake our class orders on dollar disclosure. Under the Legislative Instruments Act 2003, these class orders will expire (‘sunset’) if not remade. 
We are seeking feedback from Australian financial services (AFS) licensees on our proposals to remake, without significant changes, the following class orders:
Class Order [CO 04/1431] Dollar disclosure: Cost of derivatives, foreign exchange contracts, general insurance products and life risk insurance products, which is due to expire on 1 October 2016; and
Class Orders [CO 04/1433] Dollar disclosure: Non-monetary benefits and interests and [CO 04/1435] Dollar disclosure: Amounts denominated in a foreign currency, which are due to expire on 1 April 2017.
Note: The draft ASIC instrument is available on our website at www.asic.gov.au/cp under CP 253
We are also seeking feedback from AFS licensees on our proposals to repeal Class Orders [CO 04/1430] Dollar disclosure: Unknown facts or circumstances and [CO 04/1432] Dollar disclosure: Interest payable on deposit products, which are due to expire on 1 April 2017.	MR 16-048
Attachment to CP 253 (Draft legislative instrument)	
CP 254 Regulating digital financial product advice	21/3/2016	This consultation paper sets out ASIC’s proposed approach to the regulation of digital financial advice in Australia.
We are seeking the views of Australian financial services (AFS) licensees and their representatives who provide financial product advice to retail clients, and other interested parties. 
Specifically, we are seeking feedback on our proposals relating to: 
•	how the organisational competence obligation applies to AFS licensees in a digital advice context; and
•	how AFS licensees should monitor and test the algorithms underpinning digital advice. 
We have set out our proposed guidance in the draft regulatory guide attached to this paper.	MR 16-082
Attachment to CP 254 (Draft regulatory guide)	
CP 255 Remaking ASIC class orders on financial services disclosure requirements	23/3/2016	This consultation paper sets out ASIC’s proposals to remake our class orders relating to specific financial services disclosure requirements. Under the Legislation Act 2003, these class orders will expire (‘sunset’) if not remade. 
We are seeking feedback from the financial services industry on our proposals to remake, without significant changes, the following class orders, which are due to expire on 1 April 2017:
•	Class Order [CO 02/1072] Product Disclosure Statements: Top-up relief for managed investment schemes;
•	Class Order [CO 07/10] Technical disclosure relief for reconstructions and capital reductions (paragraph 9);
•	Class Order [CO 03/237] Updated information in Product Disclosure Statements; and
•	Class Order [CO 03/1092] Further relief for joint Product Disclosure Statements.
Note: The draft ASIC instruments are available on our website at www.asic.gov.au/cp under CP 255.	MR 16-086
Attachments 1-4 to CP 255
(Draft legislative instruments)	
CP 256 Remaking and repealing ASIC class orders on trustee company common funds	24/3/2016	This consultation paper sets out ASIC’s proposals to address two class orders relating to trustee companies. Under the Legislation Act 2003, these class orders will expire (‘sunset’) if not remade.
We are seeking feedback from trustee companies and other Australian financial services (AFS) licensees on our proposal to remake, without significant changes, Class Order [CO 04/1063] Section 981B money in cash common funds, which is due to expire on 1 April 2017.
Note: The draft ASIC instrument is available on our website at www.asic.gov.au/cp under CP 256.
We are also seeking feedback on our proposal to repeal Class Order [CO 00/199] Trustee companies’ common funds, which is due to expire on 1 October 2016.	MR 16-091
Attachment to CP 256 (Draft legislative instrument)	
CP 257 Improving disclosure of historical financial information in prospectuses: Update to RG 228	12/5/2016	This consultation paper sets out our proposals to update our guidance in Regulatory Guide 228 Prospectuses: Effective disclosure for retail investors (RG 228). The updated guidance aims to improve the disclosure of historical financial information in prospectuses and assist companies and their advisers to better understand their disclosure obligations. 
We have attached a draft updated version of Section F of RG 228 and are seeking feedback on the proposed amendments from companies and advisers who are involved in the preparation of prospectuses.	MR 16-173
Attachment to CP 257 (Draft amendments to Section F of RG 228)	
CP 258 Remaking ASIC class order on differential fees: [CO 03/217]	30/5/2016	This consultation paper sets out ASIC’s proposal to remake our class order on differential fees. Under the Legislation Act 2003, this class order will expire (‘sunset’) if not remade. 
We are seeking feedback from financial product providers and the financial services sector on our proposal to remake, without significant changes, Class Order [CO 03/217] Differential fees, which is due to expire on 1 April 2017. 
Note: The draft ASIC instrument is available on our website at www.asic.gov.au/cp under CP 258.	MR 16-168
Attachment to CP 258 (Draft legislative instrument)	
CP 259 Repealing ASIC class order on managed investment schemes: No issue required disclosure	30/5/2016	This consultation paper sets out ASIC’s proposal to repeal a class order that we consider is no longer required and does not form a necessary and useful part of the legislative framework. Under the Legislation Act 2003, this class order will expire (‘sunset’) if not remade. 
We are seeking feedback on our proposal to repeal Class Order [CO 02/226] Managed investment schemes: No issue required disclosure, which is due to expire on 1 April 2017.	MR 16-171	
CP 260 Further measures to facilitate innovation in financial services	8/6/2016	This paper seeks feedback from financial technology businesses, financial services providers, consumers and consumer representatives, and other parties on our proposed approach to facilitating innovation in financial services:
We are seeking feedback on:
•	additional guidance about when we consider a responsible manager has appropriate knowledge and skills;
•	modifying our policies to allow some small-scale, heavily automated businesses to rely, in part, on sign-off from an appropriately experienced third party in order to meet their organisational competence obligation; and
•	a conditional, industry-wide exemption to allow new Australian businesses to test certain financial services for six months without holding an AFS licence.	MR 16-185
CP 260 Infographic (PDF)	
CP 261 Remaking and repealing ASIC class orders on rights issue notifications and money market deposits	15/6/2016	This consultation paper sets out ASIC’s proposals to remake a class order on rights issue notifications and repeal a class order on money market deposits. Under the Legislation Act 2003, these class orders will expire (‘sunset’) if not remade or repealed. 
We are seeking feedback from stakeholders on our proposals to:
•	remake, without significant changes, Class Order [CO 02/225] Rights issue notifications—securities; and
•	repeal Class Order [CO 00/231] Money market deposits. 
Both these class orders are due to expire on 1 April 2017.
Note: The draft ASIC instrument is available on our website at www.asic.gov.au/cp under CP 261.	MR 16-193
Attachment to CP 261 (Draft legislative instrument)	

Reports
Title	Release Date	Details	Media release and related documents	
REP 465 Paying to get out of debt or clear your record: The promise of debt management firms
	21/1/2015	This report presents the findings of research into firms that promise to help consumers in financial hardship or with listings on their credit reports (debt management firms) in Australia. This research is intended to contribute to the publicly available information about this growing sector.	MR 16-011
	
REP 466 ASIC’s work to reduce red tape	28/1/2016	This report follows Report 391 ASIC’s deregulatory initiatives (REP 391), which was released in May 2014. It reports progress on our deregulatory initiatives, potential new compliance cost savings identified in responses to REP 391 and initiatives identified through our internal processes.
This report also explains how we have integrated deregulation and reducing compliance costs into our work.	MR 16-016	
REP 467 Overview of decisions on relief applications (June to September 2015)	11/2/2016	This is a report for participants in the capital markets and financial services industry who are prospective applicants for relief.
This report outlines some of ASIC’s decisions on relief applications during the period from 1 June 2015 to 30 September 2015. It summarises examples of situations where we have exercised, or refused to exercise, our exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising or financial services provisions of the Corporations Act 2001 and the National Consumer Credit Protection Act 2009.
It also refers to a number of publications issued by ASIC during the period from 1 June 2015 to 30 September 2015 that may be relevant to prospective applicants for relief, including legislative instruments, consultation papers, regulatory guides and reports.	MR 16-015	
REP 469 ASIC regulation of corporate finance: July to December 2015	26/2/2016	This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance.
It highlights and discusses key statistical information, observations and our work in the regulation and oversight of fundraising, mergers and acquisitions transactions, corporate governance, and other general corporate finance areas for the period 1 July to 31 December 2015.	MR 16-026	
REP 470 Buying add-on insurance in car yards: Why it can be hard to say no	29/2/2016	This report is for those with an interest in add-on insurance products (e.g. insurers, lenders, car dealerships, consumers and the media).
It summarises ASIC’s analysis of consumer research we commissioned to understand the experience of consumers who bought add-on insurance products when buying a vehicle through a dealership.	MR 16-049	
REP 471 The sale of life insurance through car dealers: Taking consumers for a ride	29/2/2016 	This report presents ASIC’s findings in relation to the sale of the life insurance components of consumer credit insurance (CCI) sold through car dealers (car yard life insurance). Our findings are based on data collected from life insurers who issue car yard life insurance.
Our review suggests that car yard life insurance:
•	is poor value for money, as it can be much more expensive than other forms of life insurance.
•	can be sold when it is not necessary (e.g. to young people with no dependants).	MR 16-049	
REP 472 Response to submissions on CP 232 Remaking ASIC class orders on superannuation	2/3/2016	This report highlights the key issues that arose out of the submissions received on Consultation Paper 232 Remaking ASIC class orders on superannuation: [CO 04/1574] and [CO 06/636] (CP 232) and details our responses to those issues.	MR 16-054
LI 16/64
LI 16/65
SLI 16/66	
REP 468 Cyber resilience assessment report: ASX Group and Chi-X Australia Pty Ltd	7/3/2016	This report presents the findings of our cyber resilience assessments of ASX Group and Chi-X Australia Pty Ltd. It also provides some examples of emerging good practices implemented by a wider sample of organisations operating in the Australian financial sector.	MR 16-064	
REP 473 Response to submissions on CP 239 Disclosure documents: Update to ASIC instruments and guidance	17/3/2016	This report highlights the key issues that arose out of the submissions received on Consultation Paper 239 Disclosure documents: Update to ASIC instruments and guidance (CP 239) and details our responses in relation to those issues.	MR 16-076
LI 16/70, LI 16/71, LI 16/72, 
LI 16/73, LI 16/74, LI 16/75, 
LI 16/76, LI 16/77, LI 16/78, 
LI 16/79, LI 16/80, LI 16/81, 
LI 16/82, LI 16/83, LI 16/84, 
SLI 16/171
RG 55, RG 66, RG 173, RG 189, RG 228, RG 254
Withdrawn: RGs 23, 56, 99, 152, 155, 157, 158 & 213	
REP 474 Culture, conduct and conflicts of interest in vertically integrated businesses in the funds-management industry	21/3/2016	This report is about Australian financial services (AFS) licensees in the funds management industry with multiple business divisions.
It highlights the key issues that were identified in our review of the management of conflicts of interest in these businesses, and outlines our responses to these issues.	MR 16-083	
REP 475 Market integrity report: July to December 2015	4/4/2016	The market integrity report highlights some of the activities we undertook between 1 July and 31 December 2015, and outlines our priorities for 2016.
The market integrity report consists of a three minute video and a webpage.	MR 16-103
REP 475 webpage
REP 475 video
REP 475 video transcript	
REP 476 ASIC enforcement outcomes: July to December 2015	30/3/2016	This report outlines the enforcement results achieved by ASIC during the period from 1 July 2015 to December 2015 (the relevant period). The report provides a high-level overview of some of our enforcement priorities and highlights some important cases and decisions during this period.	MR 16-096	
REP 477 Response to submissions on CP 249 Remaking ASIC class order on generic financial calculators: [CO 05/1122]	20/4/2016	This report highlights the key issues that arose out of the submissions received on Consultation Paper 249 Remaking ASIC class order on generic financial calculators: [CO 05/1122] (CP 249) and details our responses to those issues.	MR 16-120
LI 16/207
REP 477
RG 167	
REP 478 Overview of licensing and professional registration applications: July to December 2015	31/5/2016	•	This report outlines ASIC’s decisions on applications for the period from 1 July to 31 December 2015 (relevant period) for: 
•	new Australian financial services (AFS) licences and licence variations; 
•	new Australian credit licences (credit licences) and licence variations; 
•	the registration of liquidators, official liquidators, company auditors and approved self-managed superannuation fund (SMSF) auditors; and
•	financial markets, clearing and settlement (CS) facilities, and derivative trade repositories (trade repositories).	MR 16-172	
REP 479 ASIC regulation of registered liquidators: January to December 2015	8/6/2016	This report is for registered liquidators and other interested stakeholders.
It summarises the work undertaken and outcomes achieved by ASIC in supervising registered liquidators in the period from 1 January to 31 December 2015 (reporting period).	MR 16-184	
REP 480 Assessment of ASX Limited’s listing standards for equities	14/6/2016	This report presents the findings of our assessment of ASX Limited (ASX)’s listing standards. It also highlights a number of good practices we have observed, which may assist all Australian listing markets (and those considering a listing function) to ensure their listing standards continue to support fair, orderly and transparent markets.	MR 16-192	
REP 481 Australian financial attitudes and behaviour tracker – Key findings from Wave 4: September 2015 – February 2016	22/6/2016	The Australian Financial Attitudes and Behaviour Tracker provides a snapshot at regular intervals of some key financial attitudes and behaviours of adult Australians.	MoneySmart	
REP 482 Compliance review of the retail OTC derivatives sector	20/6/2016	This report presents the key findings of our compliance review of Australian financial services (AFS) licensees in the retail over-the-counter (OTC) derivatives sector.	MR 16-197	
REP 483 Overview of decisions on relief applications (October 2015 to March 2016)	23/6/2016	This is a report for participants in the capital markets and financial services industry who are prospective applicants for relief.
This report outlines some of our decisions on relief applications during the period from 1 October 2015 to 31 March 2016. It summarises examples of situations where we have exercised, or refused to exercise, our exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising or financial services provisions of the Corporations Act 2001 and the National Consumer Credit Protection Act 2009.
It also refers to a number of publications issued by us during the period from 1 October 2015 to 31 March 2016 that may be relevant to prospective applicants for relief, including legislative instruments, consultation papers, regulatory guides and reports.	MR 16-200	

New rules 
Title	Dates	Details	Media release and related documents	
No rules were issued in Jan–une 2016				

Class rule waivers 
Title	Dates	Details	Media release and related documents	
ASIC Class Rule Waiver [CW 16/0352]	Issued 28/4/2016
Registered 29/4/2016: F2016L00594
Effective 30/4/2016 (day after registration)
Automatic repeal under s48A Legislation Act	Class Rule Waiver [CW 16/0352] amends Class Rule Waiver [CW 13/680] to extend the relief from the requirement to provide pre-trade transparency, as required by Subrule 4.1.1 of the ASIC Market Integrity Rules (Competition in Exchange Markets) 2011, for Contingent Equity Transactions for a further 12 months.	No MR	
ASIC Class Rule Waiver [CW 16/0359]	Issued 29/4/2016
Registered 29/4/2016: F2016L00599
Effective 30/4/2016 (day after registration)
Automatic repeal under s48A Legislation Act	Class Rule Waiver [CW 16/0359] amends Class Rule Waiver [CW 14/1091] to extend its application until 30 June 2017.	No MR	

Determinations 
Title	Dates	Details	Media release and related documents	
No determinations were issued in Jan–June 2016				

Exemptions 
Title	Dates	Details	Media release and related documents	
ASIC Corporations (Amendment) Instrument 2016/0030	Issued 27/1/2016

Registered 28/1/2016: F2016L00069

Effective 29/1/2016 (day after registration)
Automatic repeal under Part 5A LIA
	ASIC Corporations (Amendment) Instrument 2016/0030 varies the ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 to extend expiry date of exemption 7 (trade identifiers) from 31 January 2016 to 31 January 2017.	No MR	
ASIC Corporations (Amendment and Repeal) Instrument 2016/0043	Issued 29/1/2016
Registered 28/1/2016: F2016L00072
Effective 30/1/2016 (day after registration)
Automatic repeal under Part 5A LIA	ASIC Corporations (Amendment and Repeal) Instrument 2016/0043 repeals ASIC Corporations (Amendment) Instrument 2016/0030 and varies ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 to extend the expiry date of exemption 7 (trade identifiers) from 31 January 2016 to 31 January 2017	No MR	
ASIC Corporations (Derivative Transaction Clearing Exemption) Instrument 2016/258	Issued 1/4/2016
Registered 1/4/2016: F2016L00481
Effective 2/4/2016 (day after registration)	ASIC Corporations (Derivative Transaction Clearing Exemption) Instrument 2016/258 makes transitional arrangements in relation to Swaptions that were entered into before 4 April 2016.	No MR	

Information sheets
Title	Status	Release Date	Comments	Media release and related documents	
INFO 210 Unfair contract term protections for consumers	New	2/2/2016	Information Sheet 210 Unfair contract term protections for consumers (INFO 210) gives guidance on how the law deals with unfair terms in consumer contracts for financial products and services. It describes the protections that are available for consumers and ASIC's expectations of businesses.	MR 16-018	
INFO 211 Unfair contract term protections for small businesses	New	2/2/2016	From 12 November 2016, the existing unfair contract term protections for consumers will be extended to cover standard form small business contracts.
Before the law comes into effect, ASIC expects businesses to review their standard form small business contracts to remove any terms that could be considered to be unfair to ensure compliance by 12 November 2016.
This information sheet gives guidance on how the law deals with unfair terms in small business contracts for financial products and services. It describes the protections that are available for small businesses and ASIC's expectations of all businesses.	MR 16-018	
INFO 142 Estimated frozen funds under management	Reissued	18/2/2016	If you are an investor in a fund that has been frozen, Information Sheet 111 Information for investors in frozen funds (INFO 111) provides details on your rights and how you can get your money back, the duties that responsible entities have to investors, and our role.
This information sheet (INFO 142) has been in publication since 2011. While some funds remain frozen, since 2011 most funds have been wound up, restructured or terminated. This February 2016 update is intended to be the last we provide on estimated frozen funds under management.	No MR	
INFO 207 Disputes about commercial loans	New	8/3/2016	Information Sheet 207 Disputes about commercial loans (INFO 207) provides guidance on disputes about commercial loans. It explains:
•	the legal protection which applies to consumer and commercial loans
•	how disputes may arise in connection with commercial loans
•	ASIC's role and approach when dealing with commercial loan disputes, and
•	what they should do to resolve commercial loan disputes.	No MR	
INFO 212 Illegal phoenix activity	New	8/3/2016	Information Sheet 212 Illegal phoenix activity (INFO 212) covers the following topics:
•	what is phoenix activity?
•	what is illegal phoenix activity?
•	ASIC's approach to illegal phoenix activity, and
•	what people can do if you suspect phoenix activity	No MR	
INFO 213 Marketplace lending (peer-to-peer lending) products	New	21/3/2016	Information Sheet 213 Marketplace lending (peer-to-peer lending) products (INFO 213) gives guidance to assist providers of marketplace lending products and others providing financial services in connection with these products. It covers:
•	What is marketplace lending?
•	Key risks involved in providing marketplace lending products
•	Key obligations that may apply to marketplace lending business models  and applications for relief
•	Advertising of marketplace lending products
•	Good practice examples	MR 16-081	
INFO 88 Notifying ASIC of the appointment of and an AFS authorised representative	Reissued	23/3/2016	Minor technical amendments.	No MR	
INFO 214 Mining and resources - Forward-looking statements	New	8/4/2016	It is common for investors in mining and resources companies to put a lot of emphasis on 'forward-looking statements' when considering an investment. In mining, these predictive statements generally include:
•	production targets (i.e. projections or forecasts of the amount of minerals to be extracted from mining tenements for periods that extend past the current and forthcoming year.)
•	forecast financial information
•	income-based discounted cash flow valuations.
Companies that publish forward-looking statements that do not comply with the legal requirements take legal and reputational risks, and so care is needed.
This information sheet (INFO 214) aims to give stakeholders a better understanding of the existing rules that apply to forward-looking statements, thereby improving compliance and reducing any risk of litigation or regulatory action.	MR 16-111	
INFO 29 External administration most commonly lodged forms	Reissued	21/4/2016	For the last two years ASIC has tested registered liquidators’ compliance with their statutory obligations under the Corporations Act. These obligations include lodging forms with ASIC and/or publishing certain notices on the Published Notices website.
To complement ASIC’s project work in this area, ASIC has revised INFO 29 to help registered liquidators better understand and meet their obligations.
INFO 29 includes 13 new flowcharts covering most types of external administration. It also sets out ASIC’s expectations related to forms commonly lodged with ASIC in an external administration.	No MR