Australian Securities and Investments Commission – Table of regulatory documents 
Documents released during Jan–June 2019

New regulatory guides
Title	Release Date	Details	Media release and related documents	
No new regulatory guides issued in Jan–June 2019				

Amended or reissued regulatory guides
Title	Release Date	Details	Media release and related documents	
RG 243 Registration of self-managed superannuation fund auditors	4/3/2019	This guide is for people who wish to audit self-managed superannuation funds (SMSFs) under the Superannuation Industry (Supervision) Act 1993 (SIS Act).
This guide explains how to apply for registration as an approved SMSF auditor and the types of registers of SMSF auditors maintained by ASIC. It also gives guidance on the continuing legal obligations of approved SMSF auditors.
Updated to account for inclusion of SMSF auditors on ASIC’s Regulatory Portal.	No MR	
RG 197 Warrants: Out-of-use notices	18/3/2019	This guide is for issuers of warrants offered under a Product Disclosure Statement (PDS) or Supplementary PDS covering two or more warrant products.
It explains relief ASIC has given in certain circumstances from the requirement in s1015D(2)(c) of the Corporations Act 2001 (Corporations Act) to notify ASIC when a warrant ceases to be available.
Note: A warrant is a financial product as defined in reg 1.0.02(1) of the Corporations Regulations 2001.
Technical amendments only: References to Class Order [CO 08/781] Warrants: Out-of-use notices replaced with references to ASIC Corporations (Warrants: Out-of-use notices) Instrument 2019/148 and RG 197.7 amended to clarify the characteristics of a warrant. Issue date has note changed.	MR 19-056
SLI 19/147
LI 19/148	
RG 167 Licensing: Discretionary powers	5/6/2019	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;
•	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 updated its existing guidance in Regulatory Guide 167 Licensing: Discretionary Powers (RG 167) to reflect the amendments to ASIC Corporations (Generic Calculators) Instrument 2016/207 to provide superannuation and retirement calculator providers with the option of using an assumed inflation rate of 3.2% or an alternative assumed inflation rate, as long as certain disclosure requirements are satisfied.	MR 19-129
LI 19/514	

Legislative instruments
Title	Dates	Details	Media release and related documents	
ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75	Issued 31/1/2019
Registered 1/2/2019: F2019L00084
Effective 1/2/2019 (later of 1 February 2019 or registration)	ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75 determines information in documents lodged under sections 1212 and 1213 of the Corporations Act 2001 that will not be publicly available for inspection or copying.	No MR	
ASIC Corporations (Amendment) Instrument 2019/45	Issued 27/2/2019
Registered 4/3/2019: F2019L00236
Effective 5/3/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/45 amends ASIC Corporations (Division 4 Financial Products) Instrument 2015/1030 to notionally modify regulation 7.11.08 of the Corporations Regulations 2001 so that interests in registered schemes that are quoted on the financial market operated by Chi-X Australia Pty Ltd are Division 3 securities and Division 4 financial products for the purposes of Part 7.11 of the Corporations Act 2001.	No MR	
ASIC Corporations (Amendment) Instrument 2019/169	Issued 11/3/2019
Registered 13/3/2019: F2019L00284
Effective 14/3/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/169 amends ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 to provide conditional continued time-limited exemptive relief for the industry for three elements of relief ('Entity Information', 'Privacy – Consent for historical counterparties' and 'Privacy – Foreign privacy restrictions') set to expire on 31 March 2019 and amends the transitional time-limited exemptive relief provided for 'Exchange-traded derivatives'.	No MR	
ASIC Corporations (Repeal) Instrument 2019/147	Issued 12/3/2019
Registered 14/3/2019: F2019L00292
Effective 15/3/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Repeal) Instrument 2019/147 repeals Class Order [CO 08/781] Warrants: Out-of-use notices which has been replaced by ASIC Corporations (Warrants: Out-of-use notices) Instrument 2019/148.	MR 19-056
LI 19/148
RG 197	
ASIC Corporations (Warrants: Out-of-use notices) Instrument 2019/148	Issued 12/3/2019
Registered 14/3/2019: F2019L00290
Effective 15/3/2019 (day after registration)	ASIC Corporations (Warrants: Out-of-use notices) Instrument 2019/148 continues the relief provided by Class Order [CO 08/781] Warrants: Out-of-use notices in a new legislative instrument that reflects current drafting practice, without any significant changes.	MR 19-056
SLI 19/147
RG 197	
ASIC Corporations (Amendment) Instrument 2019/216	Issued 19/3/2019
Registered 20/3/2019: F2019L00325
Effective 21/3/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/216 amends ASIC Corporations (Repeal and Transitional) Instrument 2017/186 to extend its effect until 1 April 2022.	MR 19-067	
ASIC Corporations (Amendment) Instrument 2019/202	Issued 25/3/2019
Registered 26/3/2019: F2019L00408
Effective 27/3/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/202 amends ASIC Corporations (Derivative Clearing Exemption) Instrument 2018/209 to delay the commencement of central clearing requirements under the ASIC Derivative Transaction Rules (Clearing) 2015 in relation to Australian dollar forward rate agreements until 2 April 2020.	None	
ASIC (Fees—Complexity Criteria) Amendment Instrument 2019/130	Issued 26/3/2019
Registered 27/3/2019: F2019L00425
Effective 1/4/2019 (later of 1 April 2019 or day after registration)
Automatic repeal under s48A Legislation Act	ASIC (Fees—Complexity Criteria) Amendment Instrument 2019/130 amends ASIC (Fees - Complexity Criteria) Instrument 2018/578 to determine a 'fees for service' determination criteria for whether certain applications are of low, medium or high complexity.	MR 19-071	
ASIC Corporations (Amendment) Instrument 2019/240	Issued 2/4/2019
Registered 5/4/2019: F2019L00541
Effective 6/4/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/240 amends 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,
to continue the deferral of the requirements for superannuation trustees to publish a dashboard for a choice superannuation product and to include product dashboards with periodic statements sent to superannuation fund members. The continued deferral will facilitate the government considering and settling its policy positions on these aspects, including making regulations to prescribe the content of a dashboard for a choice superannuation product.	MR 19-081	
ASIC (Senior Staff Members—Determination) Instrument 2019/117	Issued 1/5/2019
Registered 3/5/2019: F2019L00541
Effective 1/7/2019 (later of 1 July 2019 or day after registration)	ASIC (Senior Staff Members—Determination) Instrument 2019/117 determines which staff in ASIC are senior staff members for the purposes of delegations.	None	
ASIC Corporations (Amendment) Instrument 2019/514	Issued 3/6/2019
Registered 4/6/2019: F2019L00724
Effective 5/6/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/514 amends ASIC Corporations (Generic Calculators) Instrument 2016/207 to provide superannuation and retirement calculator providers with the option of using an assumed inflation rate of 3.2% or an alternative assumed inflation rate, as long as certain disclosure requirements are satisfied.	MR 19-129
RG 167	
ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2019/537	Issued 5/6/2019
Registered 7/6/2019: F2019L00729
Effective 8/7/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2019/537 repeals ASIC Market Integrity Rules (Securities Markets) Determination 2019/175 which will be superseded by ASIC Market Integrity Rules (Securities Markets) Determination 2019/536.	DET 19/536	
ASIC Corporations (Amendment) Instrument 2019/599	Issued 20/6/2019
Registered 21/6/2019: F2019L00854
Effective 1/7/2019 (later of 1 July 2019 or day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/599 amends Class Order [CO 14/1252] Technical modifications to Schedule 10 of the Corporations Regulations to ensure that the amendments made by the Treasury Laws Amendment (Protecting Your Superannuation Package) Regulations 2019 (the PYSP Regulations) are given effect and to ensure that modifications to Schedule 10 and Schedule 10D of the Corporations Regulations 2001 made by the class order are not inconsistent with the PYSP Regulations and continue to operate as intended.  . 	MR 19-149	
ASIC Corporations (Banking Code of Practice – Revocation of 2018 Approval) Instrument 2019/662	Issued 25/6/2019
Registered 26/6/2019: F2019L00877
Effective 27/6/2019 (day after registration)	ASIC Corporations (Banking Code of Practice – Revocation of 2018 Approval) Instrument 2019/662 revokes ASIC’s approval of the 2018 Banking Code of Practice, which was approved in August 2018 by the ASIC Corporations (Banking Code of Practice) Instrument 2018/700.	MR 19-162
LI 19/663	
ASIC Corporations (Approval of Banking Code of Practice) Instrument 2019/663	Issued 25/6/2019
Registered 26/6/2019: F2019L00878
Effective 27/6/2019 (same day as Instrument 2019/662)	ASIC Corporations (Approval of Banking Code of Practice) Instrument 2019/663 provides ASIC’s approval of the Australian Banking Association's 2019 Banking Code of Practice, as published on their website on 24 June 2019.	MR 19-162
SLI 19/662	
ASIC (Amendment) Instrument 2019/606	Issued 26/6/2019
Registered 27/6/2019: F2019L00901
Effective 1/7/2019 (later of immediately after Instrument 2019/117  or day after registration)
Automatic repeal under s48A Legislation Act	ASIC (Amendment) Instrument 2019/606 amends ASIC (Senior Staff Members—Determination) Instrument 2019/117 by adding a new category of ‘senior staff member’ for the purposes of certain delegations.	None	
ASIC Corporations (Amendment) Instrument 2019/698	Issued 28/6/2019
Registered 28/6/2019: F2019L00928
Effective 29/6/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Corporations (Amendment) Instrument 2019/698 amends Class Order [CO 14/1262] Relief for 31 day notice term deposits to extend the interim conditional relief for a further period of 24 months to enable 31-day notice term deposits of up to five years to be treated as basic deposit products under the Corporations Act 2001.	None	

Consultation papers
Title	Release Date	Details	Media release and related documents	
CP 308 Review of RG 97 Disclosing fees and costs in PDSs and periodic statements	8/1/2019
	This consultation paper sets out our response to the recommendations in Report 581 Review of ASIC Regulatory Guide 97: Disclosing fees and costs in PDSs and periodic statements (REP 581). 
It seeks feedback on a draft updated Regulatory Guide 97 Disclosing fees and costs in PDSs and periodic statements (draft updated (RG 97) and proposed amendments to Sch 10 to the Corporations Regulations (draft amendments to Sch 10).
Note: The draft amendments to Sch 10 and the draft updated RG 97 are available on our website at www.asic.gov.au/cp under CP 308.	MR 19-002
Attachment 1 to CP 308 (Draft regulatory guide)
Attachment 2 to CP 308 (Draft amendments to Sch 10)	
CP 309 Update to RG 209: Credit licensing: Responsible lending conduct	12/2/2019	This consultation paper seeks feedback on ASIC’s proposals for updating our guidance in Regulatory Guide 209 Credit licensing: Responsible lending conduct (RG 209).
In particular, we are considering our general approach to guidance in this area, what aspects of our current guidance may need updating or clarification, and whether we should provide additional guidance on specific issues.	MR 19-028	
CP 310 Review of ePayments Code: Scope of the review	6/3/2019	This consultation paper is the first of two papers ASIC plans to issue in 2019 on our review of the ePayments Code. 
This paper seeks feedback from stakeholders on the topics we propose to consider as part of our review. 
We anticipate engaging further with stakeholders to help us develop more detailed proposals for a second, more substantive, consultation paper later in 2019.	MR 19-049	
CP 311 Internal dispute resolution: Update to RG 165	15/5/2019	This paper seeks feedback on our proposals to update our policy on the internal dispute resolution (IDR) requirements that apply to:
•	Australian financial services (AFS) licensees;
•	Australian credit licensees;
•	unlicensed product issuers and secondary sellers;
•	trustees of regulated superannuation funds (except for self-managed superannuation funds (SMSFs)), trustees of approved deposit funds and retirement savings account (RSA) providers (superannuation trustees);
•	unlicensed carried over instrument lenders; and
•	unlicensed financial technology businesses.	MR 19-115
Attachment 1 to CP 311: Draft updated RG 165
Attachment 2 to CP 311: Draft data dictionary	
CP 312 Stub equity in control transactions	4/6/2019	This consultation paper seeks feedback on our proposal to address concerns about certain offers of ‘stub equity’ scrip consideration in control transactions.	MR 19-127
Attachment to CP 312: Draft instrument	
CP 313 Product intervention power	26/6/2019	This paper sets out ASIC’s proposals for guidance on exercising the product intervention power in Pt 7.9A of the Corporations Act and Pt 6-7A of the National Credit Act. We are seeking the views of interested stakeholders, including industry and consumers, on our proposals.
Note: The draft regulatory guide (draft RG 000), which is attached to this paper, is available on our website at www.asic.gov.au/cp under CP 313.	MR 19-157
Attachment to CP 313: Draft regulatory guide	
CP 314 Market integrity rules for technological and operational resilience	27/6/2019	This consultation paper seeks feedback on proposed market integrity rules for securities and futures market operators and market participants to promote the resilience of their critical systems.	MR 19-159	

Reports
Title	Release Date	Details	Media release and related documents	
REP 607 Audit inspection program report for 2017–18	24/1/2019	This report summarises the observations and findings identified by ASIC’s audit inspection program in the 18 months to 30 June 2018.
We expect this report to be of interest both to the inspected firms and those firms we have not inspected, as well as companies, audit committees, investors and other stakeholders interested in financial reporting.	MR 19-013
	
REP 608 Response to submissions on CP 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders	30/1/2019	This report highlights the key issues that arose out of the submissions received on Consultation Paper 299 Short selling: Naked short selling relief, position reporting amendments and sunsetting class orders (CP 299) and details our responses to those issues.	MR 18-301 Edior’s note	
REP 609 Annual general meeting season 2018	31/1/2019	This report provides an overview of the annual general meeting season in 2018 for S&P/ASX 200 listed entities. It sets out some key observations from our review.	MR 19-016	
REP 610 ASIC regulation of registered liquidators: January 2017 to June 2018	14/2/2019	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 2017 to 30 June 2018 (reporting period).	MR 19-029	
REP 611 Overview of licensing and professional registration applications: July 2017 to June 2018	28/2/2019	This report is for Australian financial services (AFS) licensees, Australian credit licensees (credit licensees), lawyers, application service providers, and professionals working in financial services.
It describes the key regulatory issues and ASIC’s activities regarding licensing and professional registration. It focuses on the period from 1 July 2017 to 30 June 2018 (relevant period) and sets out our decisions on applications for:
•	new AFS licences and licence variations;
•	new credit licences and licence variations;
•	the registration of 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 19-045	
REP 612 ASIC regulation of corporate finance: July to December 2018	15/3/2019	This report is for companies, lawyers, corporate advisers and compliance professionals working in corporate finance.
It discusses our key observations for the period from 1 July 2018 to 31 December 2018, and our areas of focus for the next six months.	MR 19-054	
REP 614 Financial advice: Mind the gap	28/3/2019	This report summarises the key findings of research commissioned by ASIC into consumer awareness and understanding of general and personal advice. 
The research was conducted by Whereto Research, an independent market research agency.	MR 19-069	
REP 615 ASIC Enforcement Update: July to December 2018	9/4/2019	Report 615 ASIC Enforcement Update: July to December 2018 (REP 615) outlines key enforcement outcomes between July and December 2018, and also identifies the focus areas for ASIC’s enforcement work in 2019. 
In his Foreword to the report, ASIC Deputy Chair Daniel Crennan QC discusses recent reforms enabling ASIC to pursue harsher civil penalties and criminal sanctions against banks, their executives and others who have breached corporate and financial services law.	MR 19-083	
REP 613 Compliance Report (Part 4) - Commonwealth Financial Planning Limited and Financial Wisdom Limited	10/4/2019	This report is prepared by KordaMentha Forensic as the compliance expert engaged by ASIC under the additional licence conditions imposed by ASIC on two AFS Licensees: Commonwealth Financial Planning Limited and Financial Wisdom Limited. Both Licensees are subsidiaries of the Commonwealth Bank of Australia. The report deals only with the issues set out in the Additional Licence Conditions.	MR 19-085	
REP 616 Survey of crowd-sourced funding intermediaries: 2017–2018	12/4/2019	This report is for existing and prospective crowd-sourced funding (CSF) intermediaries, existing and prospective eligible CSF companies, and interested stakeholders. 
It sets out the key information and findings from our survey of CSF intermediaries, which covered the period from the start of the CSF regime on 29 September 2017 to 30 June 2018.	MR 19-089
Infographic – REP 616	
REP 617 Survey of marketplace lending providers: 2017–18	12/4/2019	This report provides an overview of marketplace lending platforms structured as managed investment schemes. It is based on the findings from ASIC’s survey of 13 marketplace lending providers for the 2017–18 financial year. This is our third survey on this segment of the marketplace lending sector. 
By conducting surveys of marketplace lending providers, we have been able to better understand new and existing business models, monitor activity levels and assess risks.
This report explains: 
•	how we conducted the 2017–18 survey; 
•	findings from the 2017–18 survey; and
•	our next steps.	MR 19-089
Infographic – REP 617
	
REP 618 Regulator Performance Framework: ASIC self-assessment 2017–18	16/4/2019	The Regulator Performance Framework (Framework) provides a set of six common key performance indicators (KPIs) for Australian Government regulators.
This report sets out our self-assessment of ASIC’s performance against the KPIs in 2017–18.	None	
REP 619 Market integrity report: July to December 2018	31/5/2019	This report highlights some of the activities the Market Integrity Group undertook between 1 July and 31 December 2018, and includes our priorities for the rest of the financial year.  	MR 19-122	
REP 620 Overview of decisions on relief applications (October 2018 to March 2019)	21/6/2019	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 2018 to 31 March 2019 (report period). It summarises examples of situations where we have exercised, or refused to exercise, ASIC’s exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising or financial services provisions of the Corporations Act and the National Credit Act.
It also refers to a number of publications issued by ASIC during the report period that may be relevant to prospective applicants for relief, including legislative instruments, consultation papers, regulatory guides and reports.	MR 19-148	

Rules 
Title	Dates	Details	Media release and related documents	
ASIC Market Integrity Rules (NSXA Market) Repeal Instrument 2018/1157	Issued 7/1/2019
Registered 9/1/2019
Effective 9/1/2019 (day of registration)
Automatic repeal under s48A Legislation Act	ASIC Market Integrity Rules (NSXA Market) Repeal Instrument 2018/1157 repeals ASIC Market Integrity Rules (NSXA Market) 2010 which are superseded by the ASIC Market Integrity Rules (Securities Market) 2017.	No MR	

Class rule waivers 
Title	Dates	Details	Media release and related documents	
No class rule waivers took effect in Jan–June 2019				

Determinations 
Title	Dates	Details	Media release and related documents	
ASIC Market Integrity Rules (Securities Markets) Determination 2019/175	Issued 7/3/2019

Registered 8/3/2019: F2019L00267

Effective 5/4/2019 (later of 5 April 2019 or 20 business days after the day of registration)	ASIC Market Integrity Rules (Securities Markets) Determination 2019/175 determines the Tier 1 Equity Market Products and the Tier 2 Equity Market Products for the purposes of paragraph 6.2.1(1)(c) of the ASIC Market Integrity Rules (Securities Markets) 2017.	None	
ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2019/176	Issued 7/3/2019

Registered 8/3/2019: F2019L00268

Effective 5/4/2019 (later of 5 April 2019 or 20 business days after the day of registration)
Automatic repeal under s48A Legislation Act	ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2019/176 repeals ASIC Market Integrity Rules (Securities Markets) Determination 2018/1131 which will be superseded by ASIC Market Integrity Rules (Securities Markets) Determination 2019/175.	None	
ASIC Regulated Foreign Markets Determination (Amendment) Instrument 2019/324	Issued 10/4/2019
Registered 11/4/2019: F2019L00607
Effective 12/4/2019 (day after registration)
Automatic repeal under s48A Legislation Act	ASIC Regulated Foreign Markets Determination (Amendment) Instrument 2019/324 amends ASIC Regulated Foreign Markets Determination [OTC DET 13/1145] to add regulated markets, a change necessitated by the withdrawal of the UK from the EU.	None	
ASIC Market Integrity Rules (Securities Markets) Determination 2019/536	Issued 5/6/2019
Registered 7/6/2019: F2019L00728
Effective 8/7/2019 (day after registration)	ASIC Market Integrity Rules (Securities Markets) Determination 2019/536 determines the Tier 1 Equity Market Products and the Tier 2 Equity Market Products for the purposes of paragraph 6.2.1(1)(c) of the ASIC Market Integrity Rules (Securities Markets) 2017.	[SLI 19/537]	

Information sheets
Title	Status	Release Date	Comments	Media release and related documents	
INFO 157 Foreign financial services providers - practical guidance	Reissued	3/4/2019	INFO 157 explains what an FFSP must do if it wishes to:
•	rely on ‘class’ relief under an ASIC instrument, or
•	apply for individual relief under Regulatory Guide 176 Foreign financial services providers (RG 176).
The ‘class’ relief available under the ASIC instruments is currently due to expire on 30 September 2019. Details of ASIC’s proposals for regulation of FFSPs after 30 September 2019 are in Consultation Paper 268 Licensing relief for foreign financial services providers with a limited connection to Australia (CP 268) and Consultation Paper 301 Foreign financial services providers (CP 301). ASIC is currently reviewing RG 176 in light of the proposals set out in CP 268 and CP 301.	MR 19-076	
INFO 185 Using ASIC's reverse mortgage calculator	Reissued	1/5/2019	Amended to account for relaunch of the MoneySmart reverse mortgage calculator.	None	
INFO 26 Dealing with businesses and companies	Reissued	2/5/2019	Technical updates. 	None	
INFO 212 Concerns about illegal phoenix activity	Reissued	2/5/2019	Technical updates.	None	
INFO 234 Indigenous corporations	Reissued	2/5/2019	Technical updates.	None	
INFO 235 Reporting obligations of Indigenous corporations	Reissued	2/5/2019	Technical updates.	None	
INFO 236 Dispute resolution for Indigenous corporations	Reissued	2/5/2019	Technical updates.	None	
INFO 225 Initial coin offering and crypto-assets	Reissued	30/5/2019	ASIC has updated Information INFO 225 based on recent experiences with ICOs and crypto-assets, which indicate that ICOs and crypto-assets will often be financial products or involve financial products that are regulated under the Corporations Act.	MR 19-121	
INFO 237 Protecting against share sale fraud	New	17/6/2019	INFO 237 provides guidance in relation to ASIC’s expectations around licensees’ management of:
•	one-off share sales
•	customer due diligence
•	ongoing customer due diligence
•	intermediary clients
•	anti-money laundering and counter-terrorism financing (AML/CTF) training
•	reporting of suspicious matters.	MR 19-139