Australian Securities and Investments Commission – Table of regulatory documents 
Documents released during August 2021

New regulatory guides
Title	Release Date	Details	Media release and related documents	
No new regulatory guides issued in August 2021				

Amended or reissued regulatory guides
Title	Release Date	Details	Media release and related documents	
No regulatory guides amended or reissued in August 2021				

Legislative instruments
Title	Dates	Details	Media release and related documents	
ASIC Corporations and Credit (Breach Reporting—Reportable Situations) Instrument 2021/716	Issued 13/8/2021
Registered 17/8/2021: F2021L01128
Effective 5/10/2021 (later of 5 October 2021 or day after registration)	ASIC Corporations and Credit (Breach Reporting—Reportable Situations) Instrument 2021/716 amends licensees’ breach reporting obligation contained in s 912DAA of the Corporations Act and 50B of the National Consumer Credit Protection Act so that individual breaches of our enforceable IDR standards contained in Regulatory Guide 271 Internal Dispute Resolution (RG 271) are not deemed to be 'significant' and so not automatically reportable. This amendment has been made so that licensees are not obliged to report minor and technical breaches of the IDR standards to us that are unlikely to cause consumer detriment, alleviating unnecessary reporting. Licensees will still have to consider the general 'significance' test as well as the other deeming provisions (such as where the breach results in material loss to consumers) where they breach the IDR standards.	No MR	

Consultation papers
Title	Release Date	Details	Media release and related documents	
CP 347 Proposed amendments to the prohibition on order incentives in the ASIC market integrity rules	25/8/2021	This paper sets out our proposal to amend the prohibition on order incentives in Part 5.4B of the ASIC Market Integrity Rules (Securities Markets) 2017. The purpose of our proposed amendments is to close a regulatory gap in the current rules, to circumvent the emergence of payment for order flow arrangements in Australia.
We are seeking the views of interested stakeholders on our proposal.	MR 21-224	

Reports
Title	Release Date	Details	Media release and related documents	
REP 696 TPD insurance: Progress made but gaps remain	2/8/2021	Provides an update on ASIC’s work on total and permanent disability (TPD) insurance focussing on how insurers in particular are addressing the issues identified in ASIC’s Report 633 Holes in the safety net: A review of TPD insurance claims (REP 633).	MR 21-195	
REP 697 ASIC quarterly update: April to June 2021	4/8/2021	This report provides an update on ASIC’s work undertaken between 1 April and 30 June 2021.	MR 21-201	

New rules 
Title	Dates	Details	Media release and related documents	
No rules issued in August 2021				

Class rule waivers 
Title	Dates	Details	Media release and related documents	
No class rule waivers issued in August 2021				

Determinations 
Title	Dates	Details	Media release and related documents	
No determinations issued in August 2021				

Notices

Title	Dates	Details	MR and related documents	
No notices issued in August 2021				

Information sheets
Title	Status	Release Date	Comments	Media release and related documents	
INFO 224 ASIC audit inspections	Updated	3/8/2021	Minor technical update.	N/A	
INFO 226 Complying with the ASIC Client Money Reporting Rules 2017	Reissued	10/8/2021	Updated guidance for AFS licensees that hold reportable client money to clarify:
•	the correct designation of client money accounts under section 981B of the Corporations Act,
•	an AFS licensees’ obligations relating to the use of buffers	N/A	
INFO 50 Notifying a market operator about directors’ interests in company securities	Reissued	16/8/2021	Subject broadened from 'ASX' to 'market operators' and penalty information updated to reflect current penalties and ASIC style.
NOTE: New title	N/A	
INFO 212 Concerns about illegal phoenix activity	Reissued	17/8/2021	Definition of 'illegal phoenix activity' amended and minor updates to links and wording to ensure clear and concise information: see Illegal phoenix activity webpage	N/A	
INFO 241 Prohibition on influencing employers’ superannuation fund choice: section 68A of the SIS Act	Reissued	25/8/2021	Minor technical updates to remove out-dated references given amendments made by Superannuation Industry (Supervision) Amendment (Your Future, Your Super—Improving Accountability and Member Outcomes) Regulations 2021.	No MR	

Other documents

N/A	ASIC Corporate Plan 2021–25 - Focus 2021–22	25/8/2021	Oultines ASIC’s priorities over the next four years to achieve a fair, strong and efficient financial system for all Australians.
The Corporate Plan is consistent with ASIC’s new Statement of Intent in response to the Australian Government’s Statement of Expectations.	MR 21-225
Statement of Intent: Australian Securities and Investments Commission - August 2021
Australian Government Statement of Expectations: Australian Securities and Investments Commission - August 2021