Australian Securities and Investments Commission – Table of regulatory documents 
Documents released during July–December 2022

New regulatory guides
Title	Release Date	Details	Media release and related documents	
RG 276 Superannuation forecasts: Calculators and retirement estimates	5/7/2022	This guide is for:
•	superannuation trustees who provide superannuation calculators and retirement estimates to their members; and
•	other providers of superannuation calculators.
It explains what providers need to do to rely on our relief in ASIC Corporations (Superannuation Calculators and Retirement Estimates) Instrument 2022/603 in relation to superannuation calculators and retirement estimates (referred to in this guide as ‘superannuation forecasts’).	MR 22-173
RG 167
REP 731
LI 22/603
SLI 22/604	
RG 277 Consumer remediation	27/9/2022	This guide sets out our guidance on consumer remediation conducted by:
•	Australian financial services (AFS) licensees 
•	Australian credit licensees (credit licensees).
This guide comes into effect on the date of publication (i.e. 27 September 2022). For remediations initiated before the date of publication, Regulatory Guide 256 Client review and remediation conducted by advice licensees (RG 256) applies.
This guide may be read in conjunction with Making it right: How to run a consumer-centred remediation.	MR 22-260
REP 737
Making it right: How to run a consumer-centred remediation (PDF)
Attachment to REP 737: What has changed since RG 256 (PDF 325 KB)	

Amended or reissued regulatory guides
Title	Release Date	Details	Media release and related documents	
RG 260 Communicating findings from audit files to directors, audit committees or senior managers	1/7/2022	This guide is for directors, audit committees and senior managers of companies, responsible entities or disclosing entities, and for audit firms.
It explains which financial reporting and audit quality findings identified from our reviews of audit files we would communicate to directors, audit committees or senior managers. It also provides guidance on the process we will follow and the timing of our communication.  
Updated to reflect ASIC’s changed policy that it will now routinely communicate negative findings from its reviews of audit files to directors, rather than the current exception basis.	MR 22-172
REP 730	
RG 126 Compensation and insurance arrangements for AFS licensees	6/7/2022	This guide is for Australian financial services (AFS) licensees and their representatives, advisers and insurers.
It sets out how ASIC administers the compensation requirements under s912B of the Corporations Act.
Reissued to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which come into effect on 1 July 2022, when the CCIVs regime commences.	MR 22-152 (issued 23/6/2022)
Reissued 23/6/2022: INFO 272, RG 1, RG 2, RG 3, RG 104, 
RG 105, RG 132, RG 133
Reissued 24/6/2022: INFO 240
Issued 1/7/2022: LI 22/449
Reissued 6/7/2022: RG 126, 
RG 134, RG 166, RG 168, 
INFO 155, PF 209	
RG 134 Funds management: Constitutions	6/7/2022	This guide is for:
•	responsible entities of registered managed investment schemes (registered schemes);
•	Australian passport fund operators; and
•	their advisers.
It sets out our guidance on the requirements in the Corporations Act for the constitutions of registered schemes and Australian passport funds.
Updated to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which come into effect on 1 July 2022, when the CCIVs regime commences.
NOTE: Partial update only – issue date unchanged	MR 22-152 (issued 23/6/2022)
Reissued 23/6/2022: INFO 272, RG 1, RG 2, RG 3, RG 104, 
RG 105, RG 132, RG 133
Reissued 24/6/2022: INFO 240
Issued 1/7/2022: LI 22/449
Reissued 6/7/2022: RG 126, 
RG 134, RG 166, RG 168, 
INFO 155, PF 209	
RG 166 AFS licensing: Financial requirements
	6/7/2022	This guide sets out the financial requirements you must meet as the holder of an Australian financial services (AFS) licence. The requirements vary depending on the financial products and services you offer.
Information for licensees entering into a Deed of Subordination (Pro forma 63) or Deed of Mutual Release (Pro forma 225)
If you are a body regulated by the Australian Prudential Regulation Authority (APRA), as defined in s3(2) of the Australian Prudential Regulation Authority Act 1998 (APRA Act), and are not required to comply with s912A(1)(d) of the Corporations Act 2001 (Corporations Act), RG 166 does not apply to you.
Reissued to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which come into effect on 1 July 2022, when the CCIVs regime commences.	MR 22-152 (issued 23/6/2022)
Reissued 23/6/2022: INFO 272, RG 1, RG 2, RG 3, RG 104, 
RG 105, RG 132, RG 133
Reissued 24/6/2022: INFO 240
Issued 1/7/2022: LI 22/449
Reissued 6/7/2022: 
RG 126, RG 134, RG 166, 
RG 168, INFO 155, PF 209	
RG 168 Disclosure: Product Disclosure Statements (and other disclosure obligations)
	6/7/2022	This is a guide for persons responsible for Product Disclosure Statements (PDSs) and other disclosure obligations (i.e. Australian financial services licensees, authorised representatives and product issuers).
It gives policy guidance on preparing a PDS that complies with the PDS requirements in the Corporations Act 2001. It sets out good disclosure principles and explains how ASIC will monitor the use of PDSs and enforce the PDS requirements.
Reissued to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which come into effect on 1 July 2022, when the CCIVs regime commences.	MR 22-152 (issued 23/6/2022)
Reissued 23/6/2022: INFO 272, RG 1, RG 2, RG 3, RG 104, 
RG 105, RG 132, RG 133
Reissued 24/6/2022: INFO 240
Issued 1/7/2022: LI 22/449
Reissued 6/7/2022: RG 126, 
RG 134, RG 166, RG 168, 
INFO 155, PF 209	
RG 167 AFS licensing: Discretionary powers	5/7/2022	This guide is for Australian financial services (AFS) licensees and financial services providers.
It explains:
•	how we use our powers to impose AFS licence conditions to support the AFS licensee obligations under the Corporations Act;
•	our approach to applications for relief from compliance with Pts 7.6–7.8 (other than Divs 4 and 8 of Pt 7.6) of the Corporations Act;
•	how you can apply for relief; and
•	our approach to relief for securitisation special purpose vehicles and for providers of generic financial calculators (excluding superannuation calculators).
Updated to account for transitional arrangements to new relief applying to providers of superannuation calculators from 1 January 2023	MR 22-173
RG 276
REP 731
LI 22/603
SLI 22/604	
RG 69 Debentures and notes: Improving disclosure for retail investors	21/7/2022	This guide is for issuers and others involved with the issue of mortgage debentures, debentures, secured notes, and unsecured notes or unsecured deposit notes.
It sets out our guidelines for disclosure to retail investors to help them understand and assess unlisted debentures and notes, while maintaining the flexibility of the public fundraising process. It also provides guidance on how debentures and notes may be described.
Note: See also Regulatory Guide 156 Advertising of debentures and notes to retail investors (RG 156)
References to Class Order [CO 12/1482] When debentures can be called secured notes updated to ASIC Corporations (Describing Debentures—Secured Notes) Instrument 2022/61 and references to other regulatory documents updated to maintain currency.	RG 156	
RG 156 Advertising of debentures and notes to retail investors	21/7/2022	This guide is for issuers of, and publishers of advertisements for, mortgage debentures, debentures, secured notes, and unsecured notes or unsecured deposit notes.
It sets out the standards we expect you to meet when advertising these products to retail investors. It also sets out our expectations of those handling telephone inquiries about these products (including rollover discussions).
Note: See also Regulatory Guide 69 Debentures and notes: Improving disclosure for retail investors (RG 69).
References to Class Order [CO 12/1482] When debentures can be called secured notes updated to ASIC Corporations (Describing Debentures—Secured Notes) Instrument 2022/61 and references to other regulatory documents updated to maintain currency.	RG 69	
RG 172 Financial markets: Domestic and overseas operators	2/8/2022	This guide provides guidance about the licensing regime and regulatory obligations for operators of financial markets.
Updated guidance on payment for order flow, operational resilience and ASIC portal transition. 
Updates made are a result of:
•	CP 347 
•	CP 314
•	CP 342
•	amendments to the Capital Rules 2021 (commencing 21 June 2022), and
•	transition from MECS to the ASIC Regulatory Portal.	No MR
RG 241
RG 265
RG 266	
RG 241 Electronic trading	2/8/2022	This guide is for trading participants of the markets operated by ASX Limited, Cboe Australia Pty Limited, National Stock Exchange Australia Limited and Sydney Stock Exchange Limited that use or intend to use their systems for automated order processing, including use in relation to a crossing system.
It gives guidance on how trading participants can comply with their obligations under the ASIC Market Integrity Rules (Securities Markets) 2017 that apply to the use of automated order processing.
Updated guidance on payment for order flow, operational resilience and ASIC portal transition. 
Updates made are a result of:
•	CP 347 
•	CP 314
•	CP 342
•	amendments to the Capital Rules 2021 (commencing 21 June 2022), and
•	transition from MECS to the ASIC Regulatory Portal.	No MR
RG 172
RG 265
RG 266	
RG 265 Guidance on ASIC market integrity rules for participants of securities markets	2/8/2022	This guide is for market participants subject to the ASIC Market Integrity Rules (Securities Markets) 2017 and ASIC Market Integrity Rules (Capital) 2021.
It gives guidance on how market participants can comply with their obligations under these rules.
Updated guidance on payment for order flow, operational resilience and ASIC portal transition. 
Updates made are a result of:
•	CP 347 
•	CP 314
•	CP 342
•	amendments to the Capital Rules 2021 (commencing 21 June 2022), and
•	transition from MECS to the ASIC Regulatory Portal.	No MR
RG 172
RG 241
RG 266	
RG 266 Guidance on ASIC market integrity rules for participants of futures markets	2/8/2022	This guide is for market participants subject to the ASIC Market Integrity Rules (Futures Markets) 2017 and ASIC Market Integrity Rules (Capital) 2021.
It gives guidance on how market participants can comply with their obligations under these rules.
Updated guidance on payment for order flow, operational resilience and ASIC portal transition. 
Updates made are a result of:
•	CP 347 
•	CP 314
•	CP 342
•	amendments to the Capital Rules 2021 (commencing 21 June 2022), and
•	transition from MECS to the ASIC Regulatory Portal.	No MR
RG 172
RG 241
RG 265	
RG 263 Financial Services and Credit Panel	3/8/2022	This guide sets out the principles and processes of the Financial Services and Credit Panel (FSCP).
The FSCP makes administrative decisions on matters referred to it by ASIC that relate to the conduct of financial advisers.
Updated to provide new guidance in response to Consultation Paper 359 Update to RG 263 Financial Services and Credit Panel (CP 359).	MR 22-206
INFO 273
REP 734	
RG 169 Hawking and disclosure: Discretionary powers	30/8/2022	This guide is for AFS licensees and financial services providers, and any other person who offers financial products for issue or sale.
It explains:
•	our approach to relief from compliance with the hawking provisions of Div 8 of Pt 7.8 of the Corporations Act and the financial product disclosure provisions of Pt 7.9 of the Corporations Act;
•	how to apply for relief; and
•	relief we have provided for certain types of financial products.
There are no substantive changes to our guidance. Formatting updated and repealed legislative instruments removed. The title of the guide has been changed to 'Hawking and disclosure: Discretionary powers'.	No MR	
RG 148 Platforms that are managed investment schemes and nominee and custody services	15/9/2022	This guide is for:
•	platform operators (including operators of investor directed portfolio services (IDPSs) and responsible entities of IDPS-like schemes), issuers of investments available through platforms and people who provide financial product advice on platforms; and
•	operators and people involved in the operation of nominee and custody services.
It explains:
•	our objectives when regulating, and the requirements for operating, platforms and nominee and custody services, and the related disclosure obligations; and
•	some of the obligations when issuing investments acquired through a platform or a nominee and custody service, and of financial product advisers who give advice about platforms.
Partial update – issue date unchanged. Updates made as a result of CP 358.	No MR
RG 175
RG 184	
RG 175 Licensing: Financial product advisers—Conduct and disclosure	15/9/2022	This guide is for persons who provide financial product advice to retail clients, and their professional advisers (such as lawyers). It considers how certain conduct and disclosure obligations in Pt 7.7 and Div 2 of Pt 7.7A of the Corporations Act 2001 apply to the provision of financial product advice.
Partial update – issue date unchanged. Updates made as a result of CP 358.	No MR
RG 148
RG 184	
RG 184 Superannuation: Delivery of product disclosure for investment strategies	15/9/2022	This guide is for trustees of superannuation entities (trustees) to help them comply with the product disclosure requirements in s1012IA of the 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.
Reissued – new issue date. Updates made as a result of CP 358.There are no substantive changes to our guidance in RG 184. Formatting has been updated and repealed legislative instruments have been removed.	No MR
RG 148
RG 175	
RG 129 Business introduction or matching services	30/9/2022	This guide sets out ASIC’s guidance on the regulation of business introduction or matching services that involve the offer of, or invitation to subscribe for or buy, interests in managed investment schemes. These services identify potential investors for issuers or sellers by circulating information about investment opportunities, often through publications and meetings.
Updated to explain the effect of ASIC Corporations (Business Introduction) Instrument 2022/805 (ASIC Instrument 2022/805), which provides relief to those involved in business introduction services from the fundraising, financial product disclosure, hawking and advertising requirements in the Corporations Act 2001 (Corporations Act).
ASIC considers that this relief remains useful for registered managed investment schemes with fewer than 20 members seeking to raise up to $5 million.	MR 22-267	
RG 131 Funds management: Establishing and registering a fund	6/10/2022	This guide is for responsible entities of registered managed investment schemes (registered schemes), Australian passport fund operators, corporate directors of retail corporate collective investment vehicles (CCIVs), and their advisers.
It provides guidance on our requirements for:
•	establishing and registering a managed investment scheme and subsequently registering as an Australian passport fund;
•	establishing and registering a CCIV and its initial sub-fund(s); and
•	registering further sub-funds.
Updates to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which came into effect on 1 July 2022, when the CCIVs regime commenced: see 22-152MR	RG 134
RG 240
RG 259	
RG 134 Funds management: Constitutions	6/10/2022	This guide is for responsible entities of registered managed investment schemes (registered schemes), corporate directors of corporate collective investment vehicles (CCIVs), Australian passport fund operators and their advisers.
It sets out our guidance on the requirements in the Corporations Act for the constitutions of registered schemes, CCIVs and Australian passport funds.
Updates to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which came into effect on 1 July 2022, when the CCIVs regime commenced: see 22-152MR	RG 131
RG 240
RG 259	
RG 240 Hedge funds: Improving disclosure	6/10/2022	This guide is for those involved in the issue and sale of hedge funds. It sets out our guidance for improved disclosure to investors to help them understand and assess these products.
In seeking to improve disclosure, ASIC aims to ensure that investors and their advisers have the information they need to make an informed investment decision. However, this should not be regarded as an indication that we consider these products to be suitable for all or most retail investors.
Updates to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which came into effect on 1 July 2022, when the CCIVs regime commenced: see 22-152MR	RG 131
RG 134
RG 259	
RG 259 Risk management systems of fund operators	6/10/2022	This guide is for Australian financial services (AFS) licensees that are responsible entities or corporate directors (fund operators).
It gives specific guidance on how fund operators may comply with their obligation under s912A(1)(h) of the Corporations Act 2001 (Corporations Act) to maintain adequate risk management systems.
Updates to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which came into effect on 1 July 2022, when the CCIVs regime commenced: see 22-152MR	RG 131
RG 134
RG 240	
RG 206 Credit licensing: Competence and training	25/10/2022	Credit licensees must comply with the organisational competence obligation in s47(1)(f) of the National Credit Act and licence applicants must be able to demonstrate in their licence application that they can comply with it.
We assess your compliance with this obligation by looking at the qualifications and experience of the people who are required to be ‘fit and proper’ to engage in credit activities.
What you need to do to comply will depend on the nature, scale and complexity of your business. However, Regulatory Guide 206 Credit licensing: Competence and training (RG 206) sets out our minimum expectations for demonstrating organisational competence.
You must also ensure that your representatives are adequately trained and competent to engage in the credit activities authorised by your licence: s47(1)(g).
We generally expect you to determine what is appropriate initial and ongoing training for your representatives and to embed this in your recruitment and training systems.
Wording of Note 2 under para RG 206.8 updated to reflect the most current version of the Financial Services Training Package.	No MR	
RG 8 Administrative hearings: Principles and conduct	17/11/2022	This guide is for persons who are the subject of ASIC’s administrative hearings.
This guide sets out the principles and procedures adopted in the conduct of ASIC’s administrative hearings.
Technical updates to ensure currency.
NOTE: Title has changed from ‘Hearings practice manual’	RG 98	
RG 98 ASIC’s powers to suspend, cancel and vary AFS licences and make banning orders	17/11/2022	This guide is for AFS licensees, their representatives, and advisers.
It describes the administrative powers available to ASIC to enforce compliance with the Corporations Act, including the financial services licensing provisions, by suspending, cancelling and varying AFS licences and making banning orders. It also indicates the matters ASIC generally takes into account when exercising these powers.
Technical updates to ensure currency.	RG 8	
RG 1 AFS Licensing Kit: Part 1 – Applying for and varying an AFS licence	22/12/2022	This is a guide for applicants applying for an AFS licence or to vary their licence, including foreign financial services providers relying on ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198.
Applicants should also read Part 2 of the AFS Licensing Kit (RG 2), which outlines how to:
•	complete the online forms FS01 Application for AFS licence and FS03 Application for variation of authorisation and other conditions; and
•	prepare ‘core’ supporting proof documents.
Applicants will need to read Part 3 (RG 3) if they are asked to send us ‘additional’ proof documents.
Partial updates to reflect the introduction of the ASIC MOVEit portal – issue date unchanged	No MR
RG 2
RG 3	
RG 2 AFS Licensing Kit: Part 2 – Preparing your AFS licence or variation application	22/12/2022	This is a guide for applicants applying for an AFS licence or to vary their licence, including foreign financial services providers relying on ASIC Corporations (Foreign Financial Services Providers—Foreign AFS Licensees) Instrument 2020/198. This guide forms Part 2 of the AFS Licensing Kit and outlines how to:
•	complete the online Form FS01 Application for AFS licence and Form FS03 Application for variation of authorisation and other conditions; and
•	prepare core proof documents.
An application for an AFS licence or a licence variation comprises the relevant application form and supporting core proof documents, with all of these documents provided to us at the same time.
Partial updates to reflect the introduction of the ASIC MOVEit portal – issue date unchanged	No MR
RG 1
RG 3	
RG 3 AFS Licensing Kit: Part 3 – Preparing your additional proofs	22/12/2022	This is a guide for applicants applying for an AFS licence or to vary their licence. It forms Part 3 of the AFS Licensing Kit and explains the ‘additional’ proof documents applicants may be asked to send us.
Before reading this guide, applicants should read:
•	Part 1 (RG 1), which explains the process of applying for and varying an AFS licence; and
•	Part 2 (RG 2), which helps applicants complete the AFS licence application form (FS01) or variation application form (FS03) and prepare ‘core’ proofs.
Partial updates to reflect the introduction of the ASIC MOVEit portal – issue date unchanged	No MR
RG 2
RG 3	

Legislative instruments
Title	Dates	Details	Media release and related documents	
ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449	Issued 1/7/2022
Registered 4/7/2022: F2022L00895
Effective 5/7/2022 (later of 1 July 2022 and day after registration)	ASIC Corporations (Financial Requirements for Corporate Directors of Retail Corporate Collective Investment Vehicles) Instrument 2022/449 modifies Part 7.6 of the Corporations Act 2001 (other than Divisions 4 and 8) and imposes financial resource requirements on the corporate director of a retail corporate collective investment vehicle.	MR 22-152 (issued 23/6/2022)
Reissued 23/6/2022: INFO 272, RG 1, RG 2, RG 3, RG 104, 
RG 105, RG 132, RG 133
Reissued 24/6/2022: INFO 240
Issued 1/7/2022: LI 22/449
Reissued 6/7/2022: RG 126, 
RG 134, RG 166, RG 168, 
INFO 155, PF 209	
ASIC Corporations (Adara Advisors) Instrument 2022/625	Issued 6/7/2022
Registered 11/7/2022: F2022L00966
Effective 12/7/2022 (day after registration)	ASIC Corporations (Adara Advisors) Instrument 2022/625 exempts representatives (Volunteers) of Adara Advisors from needing to be appointed as authorised representatives of both Adara Advisors and another licensee (Volunteer Firm), as would otherwise be required by subsection 911B(1) of the Corporations Act 2001.	No MR	
ASIC Corporations (Amendment) Instrument 2022/623	Issued 28/7/2022
Registered 29/7/2022: F2022L01022
Gazetted 2/8/2022: ASIC Gazette A31/22
Effective 2/8/2022 (later of gazettal or day after registration)	ASIC Corporations (Amendment) Instrument 2022/623 preserves the effect of the relief in ASIC Corporations (Repeal and Transitional) Instrument 2016/396, ASIC Corporations (CSSF-Regulated Financial Services Providers) Instrument 2016/1109 and ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182 until 31 March 2024. This instrument also delays the commencement date of ASIC Corporations (Foreign Financial Services Providers—Funds Management Financial Services) Instrument 2020/199 until 1 April 2024.	MR 22-203	
ASIC Corporations (Incidental Retail Cover) Instrument 2022/716	Issued 12/8/2022
Registered 15/8/2022: F2022L01069
Effective  16/8/2022 (day after registration)	ASIC Corporations (Incidental Retail Cover) Instrument 2022/716 exempts insurers and brokers from retail client obligations under Chapter 7 of the Corporations Act in limited circumstances where a bundled general insurance contract includes incidental retail cover by permitting the insurer or broker to treat the client as a wholesale client.	MR 22-222	
ASIC Corporations (Product Intervention Order Extension—Binary Options) Instrument 2022/779	Issued 2/9/2022
Registered 5/9/2022: F2022L01169
Effective  6/9/2022 (day after registration)	ASIC Corporations (Product Intervention Order Extension—Binary Options) Instrument 2022/779 declares that ASIC Corporations (Product Intervention Order—Binary Options) Instrument 2021/240, a product intervention order made under subsection 1023D(3) of the Corporations Act 2001, remains in force until it is revoked.	MR 22-243
REP 736

	
ASIC Corporations (Amendment) Instrument 2022/775	Issued 5/9/2022
Registered 5/9/2022: F2022L01170
Effective  6/9/2022 (day after registration)	ASIC Corporations (Amendment) Instrument 2022/775 amends ASIC Corporations (Derivative Transaction Reporting Exemption) Instrument 2015/844 to extend the operation of certain conditional exemptions and to exempt spot settlement transactions from transaction reporting requirements and position reporting requirements under the ASIC Derivative Transaction Rules (Reporting) 2013.	No MR

	
ASIC Corporations (Repeal) Instrument 2022/704	Issued 6/9/2022
Registered 7/9/2022: F2022L01179
Effective 8/9/2022 (day after registration)	ASIC Corporations (Repeal) Instrument 2022/704 repeals Class Order [CO 12/752] Financial requirements for retail OTC derivative issuers which was due to sunset on 1 October 2022. 	MR 22-250
LI 22/705	
ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705	Issued 6/9/2022
Registered 7/9/2022: F2022L01181
Effective 8/9/2022 (day after registration)	ASIC Corporations (Financial Requirements for Issuers of Retail OTC Derivatives) Instrument 2022/705 replaces sunsetting Class Order [CO 12/752] Financial requirements for retail OTC derivative issuers, imposing specific financial requirements on AFS licensees that are authorised to make a market in over-the-counter (OTC) derivatives to retail clients. It modifies the Corporations Act 2001 by inserting s 912AB. Section 912AB requires retail OTC derivative issuers to comply with additional provisions set out in the instrument as part of satisfying the obligation to have adequate financial resources under paragraph 912A(1)(d) of the Corporations Act 2001.	MR 22-250
SLI 22/704	
ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2022/788	Issued 6/9/2022
Registered 7/9/2022: F2022L01178
Effective 10/10/2022 (later of 10 October 2022 or day after registration)	ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2022/788 repeals ASIC Market Integrity Rules (Securities Markets) Determination 2022/482, which will be superseded by ASIC Market Integrity Rules (Securities Markets) Determination 2022/787 (see ‘Determinations’ below).	No MR
DET 22/787	
ASIC Corporations (Amendment) Instrument 2022/719	Issued 7/9/2022
Registered 8/9/2022: F2022L01185
Effective 9/9/2022 (day after registration)	ASIC Corporations (Amendment) Instrument 2022/719 amends the following instruments to implement temporary measures to assist unlisted entities affected by the impacts of COVID-19 by allowing them up to one additional month to complete financial reports and have those reports audited:
•	ASIC Corporations (Rounding in Financial/Directors’ Reports) Instrument 2016/191
•	ASIC Corporations (Wholly-owned Companies) Instrument 2016/785
•	ASIC Corporations (Extended Reporting and Lodgment Deadlines—Unlisted Entities) Instrument 2020/395
•	ASIC Corporations (Extension of Time to Hold AGM) Instrument 2021/770	No MR	
ASIC Corporations (Cash Settlement Fact Sheet and Confirming Transactions) Instrument 2022/809	Issued 20/9/2022
Registered 26/9/2022: F2022L01249
Effective 27/9//2022 (day after registration)	ASIC Corporations (Cash Settlement Fact Sheet and Confirming Transactions) Instrument 2022/809 provides relief from the requirement to provide notification documents to claimants where there is the risk of family violence.	MR 22-261	
ASIC Corporations (Business Introduction Services) Instrument 2022/805	Issued 28/9/2022
Registered 29/9/2022: F2022L01249
Effective 1/10/2022 (later of 1 October 2022 and day after registration)	ASIC Corporations (Business Introduction Services) Instrument 2022/805 remakes the relief in ASIC Class Order [SCO 02/273] Business introduction or matching services for interests in managed investment schemes until 1 April 2025.	MR 22-267	
ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2022/889	Issued 7/11/2022
Registered 10/11/2022: F2022L01443
Effective 11/11/2022: see also Section 2(2) 	ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2022/889 specifies the Australian Securities and Investments Commission’s regulatory costs and their attribution to each industry sub-sector for the 2021-22 financial year.	No MR	
ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2022/890	Issued 7/11/2022
Registered 10/11/2022: F2022L01444
Effective 11/11/2022: see also Section 2(2)	ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2022/890 specifies certain matters about the size and composition of the Australian Securities and Investments Commission's regulated population and of the metrics that apply to each industry sub-sector within that regulated population for the 2021-22 financial year.	No MR	
ASIC Corporations (Amendment) Instrument 2022/0940	Issued 11/11/2022
Registered 14/11/2022: F2022L01459
Effective 15/11//2022 (day after registration)	ASIC Corporations (Amendment) Instrument 2022/0940 amends:
•	ASIC Corporations (Application Form Requirements) Instrument 2017/241
•	ASIC Corporations (Changing Scheme Constitutions) Instrument 2019/700
•	ASIC Corporations (Chapter 5C—Miscellaneous Provisions) Instrument 2017/125
•	ASIC Corporations (Exposure Period) Instrument 2016/74
•	ASIC Corporations (Externally-Administered Bodies) Instrument 2015/251
•	ASIC Corporations (Foreign Scrip Bids) Instrument 2015/357
•	ASIC Corporations (Registered Schemes—Differential Fees) Instrument 2017/40
•	ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649
•	ASIC Corporations (Sale Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82
•	ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547
•	ASIC Corporations (Shorter PDS and Delivery of Accessible Financial Products Disclosure by Platform Operators and Superannuation Trustees) Instrument 2022/497
•	ASIC Corporations (Top-up Product Disclosure Statements Relief) Instrument 2016/1054
•	ASIC Class Order [CO 13/656] Equality of treatment impacting on the acquisition of interests
•	ASIC Class Order [CO 13/721] Relief to facilitate quotation of exchange traded funds on the AQUA Market
•	ASIC Class Order [CO 13/1200] Periodic statements relief for AQUA quoted and listed managed investment scheme managers	No MR	
ASIC Corporations (Financial Services Guides) Instrument 2022/910	Issued 24/11/2022
Registered 28/11/2022: F2022L01530
Effective 29/11//2022 (day after registration)	ASIC Corporations (Financial Services Guides) Instrument 2022/910 exempts an authorised representative of a financial services licensee (the licensee) from the requirement to give a Financial Services Guide to a person as a retail client for the authorised representative providing a financial service on behalf of the licensee, subject to conditions.	No MR	
ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2022/995	Issued 2/12/2022
Registered 5/12/2022: F2022L01571
Effective 11/1/2023 (later of 1 January 2023 or day after registration)	ASIC Market Integrity Rules (Securities Markets) Repeal Instrument 2022/995 repeals the ASIC Market Integrity Rules (Securities Markets) Determination 2022/787, which will be superseded by the ASIC Market Integrity Rules (Securities Markets) Determination 2022/994 (see ‘Determinations’ below)	No MR	
ASIC Corporations (Short Selling) Amendment Instrument 2022/968	Issued 2/12/2022
Registered 6/12/2022: F2022L01582
Effective 7/12/2022 (day after registration)	ASIC Corporations (Short Selling) Amendment Instrument 2022/968 amends certain sections of the ASIC Corporations (Short Selling) Instrument 2018/745.	No MR	
ASIC Corporations and Credit (Amendment and Repeal) Instrument 2022/1032	Issued 14/12/2022
Registered 15/12/2022: F2022L01651
Effective 16/12/2022 (day after registration)	ASIC Corporations and Credit (Amendment and Repeal) Instrument 2022/1032 extends the relief in the ASIC Credit (Litigation Funding-Exclusion) Instrument 2020/37 and the ASIC Corporations (Conditional Costs Schemes) Instrument 2020/38 that has been provided since 17 January 2020 so that the relief continues to operate until 31 January 2026. The instrument revokes the relief for litigation funding schemes in ASIC Corporations (Disclosure in Dollars) Instrument 2016/767 and ASIC Corporations (Litigation Funding Schemes) Instrument 2020/787.	No MR	
ASIC Corporations (Amendment) Instrument 2022/934	Issued 16/12/2022
Registered 20/12/2022: F2022L01704
Effective: see section 2	ASIC Corporations (Amendment) Instrument 2022/934 makes consequential amendments to other ASIC-made rules to reflect the repeal and remaking of the ASIC Derivative Transaction Rules (Reporting) 2013 to become the ASIC Derivative Transaction Rules (Reporting) 2022, and, from 21 October 2024, in the ASIC Derivative Transaction Rules (Clearing) 2015 only, the repeal and remaking of the ASIC Derivative Transaction Rules (Reporting) 2022 to become the ASIC Derivative Transaction Rules (Reporting) 2024.	No MR
TR 22/925: ASIC Derivative Transaction Rules (Reporting) 2022
TR 22/926: ASIC Derivative Transaction Rules (Reporting) 2024
REP 755	
ASIC Corporations (Employee Share Schemes) Instrument 2022/1021	Issued 16/12/2022
Registered 19/12/2022: F2022L01686
Effective 20/12/2022 (day after registration)	ASIC Corporations (Employee Share Schemes) Instrument 2022/1021 modifies provisions in Division 1A of Part 7.12 of the Corporations Act 2001 to provide relief in relation to provisions facilitating employee share schemes.	MR 22-370
SLI 22/1022	
ASIC Corporations (Amendment) Instrument 2022/1022	Issued 16/12/2022
Registered 19/12/2022: F2022L01685
Effective 20/12/2022 (day after registration)	ASIC Corporations (Amendment) Instrument 2022/1022 amends the following class orders so that the disclosure relief for primary offers provided by those class orders only applies if the offer is made before 1 March 2023 and is only capable of acceptance until 1 April 2024:
•	Class Order [CO 14/1000] Employee incentive schemes: Listed bodies
•	Class Order [CO 14/1001] Employee incentive schemes: Unlisted bodies	MR 22-370
LI 22/1021	

Notifiable instruments

Title	Dates	Details	Media release and related documents	
ASIC Corporations and Superannuation (Website Disclosure Deferral) Instrument 2022/808	Issued 14/9/2022
Registered 15/9/2022: F2022N00203
Effective 16/9//2022 (day after registration)	ASIC Corporations and Superannuation (Website Disclosure Deferral) Instrument 2022/808 exempts the Applicants from specified public disclosure obligations under the Superannuation Industry (Supervision) Act 1993, Superannuation Industry (Supervision) Regulations 1994, and the Corporations Act 2001 during a 3 month deferral period.	No MR	

Consultation papers
Title	Release Date	Details	Media release and related documents	
CP 364 Modifications to the ESS regime	29/9/2022
	This consultation paper is about relief that ASIC proposes to provide to facilitate the employee share scheme provisions in Pt 7.12 of the Corporations Act 2001.
It sets out our proposals on relief for secondary sales of financial products issued by listed entities, clarification of salary sacrificing arrangements and financial information that unlisted companies may provide.
The paper also explains where we do not consider relief is required or appropriate.	MR 22-265
Attachment to CP 364: Draft instrument	
CP 365 Remaking ASIC class orders on takeovers, compulsory acquisitions and relevant interests	30/11/2022	This consultation paper sets out ASIC’s proposals to remake a number of our class orders on takeovers, compulsory acquisitions and relevant interests into ASIC instruments. Under the Legislation Act 2003, these class orders will expire (‘sunset’) if not remade. 
We are seeking feedback from law firms, industry and other interested parties on our proposals to remake, without significant changes, these class orders into instruments.
On 23 November 2022, the Australian Government introduced the first tranche of legislation to move nominal modifications of the law currently in legislative instruments made by ASIC directly into the primary Acts and regulations. As those instruments approach their end dates, Treasury and ASIC will progressively review the instruments to determine whether the structure and navigability of the law would be improved if the instruments were instead contained in the primary law or regulations. We are seeking feedback on our proposals to remake these instruments if they are not incorporated into the primary law as part of a future incorporation process before they are due to expire. 
Note: The draft ASIC instruments are available on our website at www.asic.gov.au/cp under CP Error! Unknown document property name..
	MR 22-331
Attachments 1 to 9 (Draft legislative instruments)	

Reports
Title	Release Date	Details	Media release and related documents	
REP 730 Response to submissions on CP 352 Communicating audit findings to directors, audit committees and senior managers	4/7/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 352 Communicating audit findings to directors, audit committees or senior managers (CP 352) and details our responses to those issues.	MR 22-172
RG 260
	
REP 731 Response to submissions on CP 351 Superannuation forecasts: Update to relief and guidance	5/7/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 351 Superannuation forecasts: Update to relief and guidance (CP 351) and details our responses to those issues.	MR 22-173
RG 276
RG 167
LI 22/603
SLI 22/604	
REP 732 Pump and dump of micro-cap securities	14/7/2022	This report summarises our review of a series of pump and dump events that occurred in listed equity markets over 2020–21. These events had a high impact on the traded prices of micro-cap securities.
This report also sets out good practices to help market participants detect, prevent and respond to pump and dump activity.	No MR	
REP 733 ASIC enforcement and regulatory update: April to June 2022	28/7/2022	This report provides an update on ASIC’s work between 1 April and 30 June 2022.	MR 22-193
Summary of enforcement outcomes: January to June 2022	
REP 734 Response to submissions on CP 359 Update to RG 263 Financial Services and Credit Panel	3/8/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 359 Update to RG 263 Financial Services and Credit Panel (CP 359) and details our responses to those issues.	MR 22-206
RG 263
INFO 273	
REP 735 Retail investor research	11/8/2022	This report was produced by SEC Newgate Research in close consultation with ASIC.
It presents the findings of research into Australian retail investors’ motivations, attitudes and behaviours. The results provide a point-in-time snapshot of the period following the onset of the COVID-19 pandemic.	MR 22-215	
REP 733 ASIC enforcement and regulatory update: April to June 2022	16/8/2022 (first published 28/7/2022)	This report provides an update on ASIC’s work between 1 April and 30 June 2022.
Minor updates to the figures in Figure 1. 	MR 22-193
Summary of enforcement outcomes: January to June 2022	
REP 736 Response to submissions on CP 362 Extension of the binary options product intervention order	5/9/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 362 Extension of the binary options product intervention order (CP 362) and details our responses to those issues.	MR 22-243
LI 22/779	
REP 737 Response to submissions on CP 350 Consumer remediation: Further consultation 	27/9/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 350 Consumer remediation: Further consultation (CP 350) and details our responses to those issues.	MR 22-260
RG 277
Attachment to REP 737: What has changed since RG 256 (PDF 325 KB)
Making it right: How to run a consumer-centred remediation (PDF)	
REP 738 Licensing and professional registration activities: 2022 update	30/9/2022	This report is for AFS licensees, credit licensees, lawyers, service providers and financial services industry professionals that are interested in the licensing and professional registration functions of ASIC.
The report outlines key issues, new and proposed changes to licensing processes, and other work we have undertaken that affects licensees. It also provides information and data on licensing and registration applications from the 2021–22 financial year.	MR 22-268	
REP 739 Root cause analysis: Audit firm thematic review	19/10/2022	This report summarises thematic findings from our review of root cause analysis of negative audit quality findings performed by the largest six audit firms between 1 July 2020 and 31 December 2021 (review period). The report also outlines good practices we observed and better practice recommendations for audit firms performing root cause analysis.
This report will be of interest to all audit firms, auditors, audit committees, directors and preparers of financial reports.	MR 22-283	
REP 738 Licensing and professional registration activities: 2022 update	20/10/2022 (originally issued 30/9/2022)	Minor updates to some of the data in Table 1.	No MR	
REP 741 Conduct risk in wholesale fixed income markets	25/10/2022	This report: 
•	promotes efficient, honest and fair Australian fixed income markets by highlighting key conduct risks in these markets 
•	summarises the findings from our thematic review of arrangements used by dealers in fixed income markets to manage conduct risks
•	highlights our observations of better and poorer practices when managing conduct risks. 
	MR 22-288
REP 742	
REP 742 Managing conflicts of interest in wholesale financial markets	25/10/2022	This report:
•	summarises the findings of our thematic review of arrangements used by participants in wholesale financial markets for managing conflicts of interest
•	highlights our observations of better and poorer practices when managing conflicts of interest.	MR 22-288
REP 741	
REP 740 Insights from the reportable situations regime: October 2021 to June 2022	27/10/2022	This is ASIC’s first publication of the information provided under the reportable situations regime.
It provides high-level insights into the trends observed in reports lodged by licensees under the regime between 1 October 2021 and 30 June 2022.  	MR 22-295	
REP 743 Audit inspection report: 1 July 2021 to 30 June 2022	28/10/2022	This report summarises findings from our review of audit files for the period 1 July 2021 to 30 June 2022. 
This report will be of interest to audit firms, directors, audit committees, investors and other stakeholders interested in financial reporting and audits.	MR 22-296
REP 743
REP 744
REP 745
REP 746
REP 747
REP 748
REP 749	
REP 744 BDO firms in Australia: Audit inspection report—1 July 2021 to 30 June 2022	28/10/2022	This report sets out our findings from reviewing audit files at BDO firms in Australia for the period 1 July 2021 to 30 June 2022 and better practices for BDO to consider in its approach to root cause analysis.	MR 22-296
REP 743	
REP 745 Deloitte Touche Tohmatsu Australia: Audit inspection report—1 July 2021 to 30 June 2022	28/10/2022	This report sets out our findings from reviewing audit files at Deloitte Touche Tohmatsu Australia for the period 1 July 2021 to 30 June 2022 and better practices for Deloitte to consider in its approach to root cause analysis.	MR 22-296
REP 743	
REP 746 Ernst & Young Australia: Audit inspection report—1 July 2021 to 30 June 2022	28/10/2022	This report sets out our findings from reviewing audit files at Ernst & Young Australia for the period 1 July 2021 to 30 June 2022 and better practices for Ernst & Young to consider in its approach to root cause analysis.	MR 22-296
REP 743	
REP 747 Grant Thornton Australia Limited: Audit inspection report—1 July 2021 to 30 June 2022	28/10/2022	This report sets out our findings from reviewing audit files at Grant Thornton Australia Limited for the period 1 July 2021 to 30 June 2022 and better practices for Grant Thornton to consider in its approach to root cause analysis.	MR 22-296
REP 743	
REP 748 KPMG Australia: Audit inspection report—1 July 2021 to 30 June 2022	28/10/2022	This report sets out our findings from reviewing audit files at KPMG Australia for the period 1 July 2021 to 30 June 2022 and better practices for KPMG to consider in its approach to root cause analysis.	MR 22-296
REP 743	
REP 749 PricewaterhouseCoopers Australia: Audit inspection report—1 July 2021 to 30 June 2022	28/10/2022	This report sets out our findings from reviewing audit files at PricewaterhouseCoopers Australia for the period 1 July 2021 to 30 June 2022 and better practices for PwC to consider in its approach to root cause analysis.	MR 22-296
REP 743	
REP 750 Response to submissions on CP 356 ETP naming conventions: Updates to INFO 230	24/11/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 356 ETP naming conventions: Updates to INFO 230 (CP 356) and details our responses to those issues.	MR 22-325
INFO 230	
REP 751 Disputes and deficiencies: A review of complaints handling by superannuation trustees	9/12/2022	This report provides insights for compliance by superannuation trustees with enforceable obligations and guidance in Regulatory Guide 271 Internal dispute resolution (RG 271).
In particular, it outlines areas for improvement identified through ASIC’s review of the timeliness and content of responses to complaints, systemic issue identification and management, and trustee processes.	MR 22-347
REP 752	
REP 752 Review of written responses to superannuation complaints	9/12/2022	This report summarises the findings from an evaluation conducted for ASIC by Susan Bell Research of 274 responses to general superannuation complaints issued by 10 trustees.
It highlights the elements identified in the research as undermining the effectiveness of written responses to complaints and includes seven recommendations for how these responses can be improved.	MR 22-347
REP 751	
REP 753 ASIC enforcement and regulatory update: July to September 2022	12/12/2022	This report provides an overview of ASIC’s work and key matters between 1 July and 30 September 2022.	MR 22-349	
REP 754 Target market determinations for small amount credit contracts	13/12/2022	This report summarises ASIC’s work in a targeted review of compliance with the design and distribution obligations by some Australian credit licensees offering small amount credit contracts. It highlights areas for improvement to help small amount credit contract lenders to consider, review and improve their target market determinations.	MR 22-352	
REP 755 Response to submissions on CP 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation	20/12/2022	This report highlights the key issues that arose out of the submissions received on Consultation Paper 361 Proposed changes to simplify the ASIC Derivative Transaction Rules (Reporting): Second consultation (CP 361) and details our responses to those issues.	No MR
SLI 22/934
TR 22/925: ASIC Derivative Transaction Rules (Reporting) 2022
TR 22/926: ASIC Derivative Transaction Rules (Reporting) 2024	

New rules 
Title	Dates	Details	Media release and related documents	
ASIC Derivative Transaction Rules (Reporting) 2022	Issued 16/12/2022
Registered 20/12/2022: F2022L01705
Effective 21/12/2022 (day after registration) 	ASIC Derivative Transaction Rules (Reporting) 2022 repeals and remakes the ASIC Derivative Transaction Rules (Reporting) 2013 (the 2013 Rules) in the same form, so as to continue the requirements for the reporting of over-the-counter (OTC) derivatives transactions beyond the 1 October 2023 sunsetting of the 2013 Rules. 	No MR
SLI 22/934
TR 22/926: ASIC Derivative Transaction Rules (Reporting) 2024	
ASIC Derivative Transaction Rules (Reporting) 2024	Issued 16/12/2022
Registered 20/12/2022: F2022L01706
Effective 21/10/2024 (later of 21 October 2021 and day after registration)	ASIC Derivative Transaction Rules (Reporting) 2024 repeals and remakes the ASIC Derivative Transaction Rules (Reporting) 2022, with a deferred commencement of 21 October 2024. This instrument continues the requirements that first commenced in 2013 to report information about over-the-counter (OTC) derivatives transactions by businesses licensed by ASIC or otherwise authorised to deal in derivatives in Australia, but updates the requirements to harmonise to various international reporting standards, remove outdated transitional provisions, consolidate associated exemptions and ensure that the reporting requirements are fit for purpose and clear as to the roles and responsibilities of reporting entities.	No MR
SLI 22/934
TR 22/925: ASIC Derivative Transaction Rules (Reporting) 2022
TR 22/926: ASIC Derivative Transaction Rules (Reporting) 2024	

Registered waivers 
Title	Dates	Details	Media release and related documents	
ASIC Market Integrity Rules (Securities Markets) BNP Paribas SA Waiver 2022/811	Issued 30/9/2022
Registered 4/10/2022: F2022L01309
Effective 5/10/2022 (day after registration)	ASIC Market Integrity Rules (Securities Markets) BNP Paribas SA Waiver 2022/811 grants a conditional individual waiver to BNP Paribas SA (ARBN 000 000 117) from the requirement to comply with any of the provisions of the ASIC Market Integrity Rules (Securities Markets) 2017.	None	
ASIC Market Integrity Rules (Securities Markets) NSXA and SSX Markets (Operators and Participants) Class Waiver 2022/881	Issued 14/11/2022
Registered 15/11/2022: F2022L01460
Effective 17/11/2022 (later of day after registration or 17 November 2022)	ASIC Market Integrity Rules (Securities Markets) NSXA and SSX Markets (Operators and Participants) Class Waiver 2022/881 remakes the ASIC Market Integrity Rules (Securities Markets) Class Waiver 2018/258, ASIC Waiver 18/260 and ASIC Waiver 18/261, consolidates them into a single legislative instrument, and extends the operation of the relief granted under them to 17 November 2024.	No MR	

Determinations 
Title	Dates	Details	Media release and related documents	
ASIC Market Integrity Rules (Securities Markets) Determination 2022/787	Issued 6/9/2022

Registered 7/9/2022: F2022L01177

Effective 10/10/2022 (later of 10 October 2022 or day after registration)	ASIC Market Integrity Rules (Securities Markets) Determination 2022/787 determines ASIC's policy of determining the allocation of Equity Market Products to tiers.	No MR	
ASIC Market Integrity Rules (Securities Markets) Determination 2022/994	Issued 2/12/2022
Registered 5/12/2022: F2022L01570
Effective 11/1/2023 (later of 1 January 2023 or day after registration)	ASIC Market Integrity Rules (Securities Markets) Determination 2022/994 determines the allocation of Equity Market Products to Tier 1 and Tier 2 based on a periodic calculation of 2.5% of each product’s average daily value transacted in the preceding six-month period.	No MR	

Orders

Title	Dates	Details	MR and related documents	
ASIC Corporations (Product Intervention Order—Short Term Credit) Instrument 2022/647	Issued 13/7/2022
Registered 13/7/2022: F2022L00975
Effective 15/7/2022 (second day after registration)	ASIC Corporations (Product Intervention Order—Short Term Credit) Instrument 2022/647 is a product intervention order made in relation to short term credit facilities.	MR 22-182
LI 22/648
Public notice—Short Term Credit (PDF 400 KB)	
ASIC Corporations (Product Intervention Order—Continuing Credit Contracts) Instrument 2022/648	Issued 13/7/2022
Registered 13/7/2022: F2022L00976
Effective 15/7/2022 (second day after registration)	ASIC Corporations (Product Intervention Order—Continuing Credit Contracts) Instrument 2022/648 is a product intervention order made in relation to continuing credit contracts.	MR 22-182
LI 22/647
Public notice—Continuing Credit Contracts 
(PDF 512 KB)	

Information sheets
Title	Status	Release Date	Comments	Media release and related documents	
INFO 155 Shorter PDSs—Complying with requirements for superannuation products, simple managed investment schemes and simple sub-fund products	Reissued	6/7/2022	Reissued to support the licensing and other requirements for corporate collective investment vehicles (CCIVs) which come into effect on 1 July 2022, when the CCIVs regime commences.	MR 22-152 (issued 23/6/2022)
Reissued 23/6/2022: 
INFO 272, RG 1, RG 2, RG 3, RG 104, RG 105, RG 132, 
RG 133
Reissued 24/6/2022: INFO 240
Issued 1/7/2022: LI 22/449
Reissued 6/7/2022: RG 126, 
RG 134, RG 166, RG 168, 
INFO 155, PF 209	
INFO 28 About the court enforceable undertakings register	Reissued 	5/7/2022	Technical update to reflect the reissue of RG 100 in November 2021 related to the change in terminology from 'enforceable undertakings' to 'court enforceable undertakings'.	No MR	
INFO 268 FAQs: Regulation and registration of relevant providers who provide tax (financial) advice services	Reissued 	15/7/2022	Technical updates to clarify some of the questions presently covered by the information sheet and to include some additional questions that have been raised by industry.	No MR	
INFO 273 FSCP decisions: Your rights	New 	3/8/2022	New guidance about the Financial Services and Credit Panel including the rights of financial advisers affected by an FSCP decision, how to make an application to vary or revoke FSCP decisions and how to seek an independent review of FSCP decisions.	MR 22-206
RG 263
REP 734	
INFO 202 Disputes about the financial advisers register	Reissued 	13/9/2022	This information sheet (INFO 202) is for people who are concerned about the accuracy of information on the financial advisers register.
Updated to ensure currency and accuracy.	No MR	
INFO 170 MySuper product dashboard requirements for superannuation trustees	Reissued 	30/9/2022	This information sheet gives guidance to superannuation trustees and other persons in relation to the product dashboard requirements in s1017BA of the Corporations Act 2001 (Corporations Act) for MySuper products
Reissued to include updated guidance on how to disclose historical returns in circumstances where there has been a significant change to product design, strategy or governance in a MySuper product. Additional changes include clarification on the disclosure required for the moving average return when disclosing the comparison between the return target and the returns for previous financial years, additional comments on APRA reporting standards and technical legal updates.  	No MR	
INFO 80 How to interpret ASIC insolvency statistics	Reissued 	19/10/2022	Updated to reflect consolidation of Series 1, 1A, 1B and Series 2, 2A, 2B insolvency statistics into Series 1 and 2. INFO 80 now explains how to interpret Series 1, 2, 3, 4 and 4A (current insolvency stats).	No MR	
INFO 222 Improving and maintaining audit quality	Reissued 	26/10/2022	Technical updates to ensure currency.	No MR	
INFO 230 Exchange traded products: Admission guidelines	Reissued 	23/11/2022	Updated guidance on naming conventions for licensed Australian exchanges that admit exchange traded products (ETPs), dividing the naming conventions into two levels of labelling:
•	primary labels (‘ETF’ and ‘Structured Product’) based on product type; and
•	secondary labels (‘Active’ and ‘Complex’) for products with specific risks or strategies.	MR 22-325
REP 750	
INFO 274 Tips for giving self-managed superannuation advice	New 	8/12/2022	This information sheet (INFO 274) is for Australian financial services (AFS) licensees and their representatives who provide personal advice to retail clients. 
It provides tips to help advice providers comply with their legal obligations when giving advice about self-managed superannuation funds (SMSFs), including a range of factors to consider when advising a client to withdraw their superannuation from a fund regulated by the Australian Prudential Regulation Authority (APRA) to set up an SMSF.	MR 22-345
SINFO 205
SINFO 206	

Other documents

Title	Release Date	Details	MR and related documents	
No-action letter – Notifying joint account holders (family violence) (PDF 187 KB)	8/7/2022	Adopts a temporary no-action position to enable large banks (‘eligible licensees’) to withhold the reporting of certain credit information on consumer credit reports where reporting the information could lead to consumer harm, including where a consumer may be the victim of family violence.	MR 22-175
	
ASIC’s Corporate Plan 2022-26 - Focus 2022-23	22/8/2022	Outlines ASIC’s strategic priorities for the next four years and its plan of action for the year ahead.	MR 22-227	
ASIC Data Strategy 2021–26 (PDF verson)	8/9/2022	Outlines ASIC's vision to fully harness our data assets and analytics capabilities, empowering our people to put data into action and enabling data-informed regulatory decisions.	N/A	
Making it right: How to run a consumer-centred remediation	27/9/2022	Making it right: How to run a consumer-centred remediation is a best practice field guide that helps licensees with the day-to-day design and execution of consumer-centred remediations. It should be used alongside ASIC’s Regulatory Guide 277 Consumer remediation (RG 277).	MR 22-260
RG 277
REP 737
Attachment to REP 737: What has changed since RG 256	
ASIC Annual Report 2021-22	14/10/2022	Outlines ASIC’s key regulatory and enforcement outcomes for 2021–22.	MR 22-276	
Cost recovery implementation statement - 2021-22	21/10/2022	This Cost Recovery Implementation Statement (CRIS) provides information on how we will implement the industry funding model and recover:
•	the costs of our regulatory activities from each industry subsector in 2021–22 (in Part 1); and
•	our user-initiated and transaction-based regulatory costs via fees for service in 2021–22 (in Part 2).
This version of the CRIS summarises and responds to stakeholder feedback on the version we published for comment in June 2022.
The CRIS helps to increase the transparency of ASIC's costs, which strengthens our accountability to industry. This is particularly important now that regulated entities will receive an invoice for ASIC's regulatory services delivered in the prior year.	MR 22-285	
ASIC Data Strategy 2021–26 (Reissued – HTML version)	25/10/2022	Outlines ASIC's vision to fully harness our data assets and analytics capabilities, empowering our people to put data into action and enabling data-informed regulatory decisions.	N/A	
Letter to insurers about severe weather events (PDF 321 KB)	7/11/2022	ASIC has written to general insurers about insurance claims and severe weather events.	News item	
Public letter to CEOs of all life insurers and friendly societies (PDF 123 KB)	8/12/2022	ASIC and the Australian Prudential Regulation Authority (APRA) have issued a joint letter to CEOs of life insurers and friendly societies (life companies) about premium increases in the life insurance industry. 
The letter outlines ASIC and APRA’s concerns following complaints from consumers and reportable situations related to premium increases, particularly in relation to ‘level’ premium products.  
In the letter, ASIC and APRA request life companies review their past premium increases, and disclosure and marketing material. The letter also outlines ASIC and APRA’s expectations on the design of future product offerings.	News item