Financial service providers

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Accountants and actuaries

RG 154 Certificate by a qualified accountant

RG 170 Prospective financial information

INFO 216 AFS licensing requirements for accountants who provide SMSF services

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Authorised deposit-taking institutions

See also

Home > For consumers > Banking

Home > Regulatory resources > Financial services > ePayments Code

RG 40 ASIC’s guide to good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)

RG 146 Licensing: Training of financial product advisers

RG 147 Mutuality – Financial Institutions

RG 166 Licensing: Financial requirements

CO 14/1262 Relief for 31 day notice term deposits

ASIC Corporations (Foreign Licensees and ADIs) Instrument 2016/186

ASIC Corporations (Basic Deposit and General Insurance Product Distribution) Instrument 2015/682

REP 8 Inquiry into fees on electronic and telephone banking

REP 53 Good transaction fee disclosure

REP 4 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1998 to March 1999)

REP 11 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1999 to March 2000)

REP 13 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2000 to March 2001)

REP 20 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2001 to March 2002)

REP 27 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2002 to March 2003)

REP 63 Compliance with the EFT Code of Conduct (April 2003 to March 2004)

CP 310 Review of ePayments Code: Scope of the review (see 19-049MR)

CP 341 Review of the ePayments Code: Further consultation (see 21-108MR)

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Business matching services

ASIC Corporations (Repeal and Transitional) Instrument 2017/186 (continues the effect of [SCO 02/273] until 1 April 2022) (see 19-067MR)

Buy now pay later

REP 672 Buy now pay later: An industry update (see MR 20-280)

Crowd-sourced funding intermediaries

RG 262 Crowd-sourced funding: Guide for intermediaries

ASIC Corporations (Financial Requirements for CSF Intermediaries) Instrument 2017/339

REP 544 Response to submissions on CP 288 and CP 289 on crowd-sourced funding

REP 616 Survey of crowd-sourced funding intermediaries: 2017–2018 (see 19-089MR)

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Custodians

RG 133 Managed Investments: Scheme property arrangements

RG 149 Nominee and custody services

INFO 141 Dealing and providing a custodial or depository sevice as a secondary service

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Derivative dealers and futures brokers

RG 20 Disclosure of convictions and proceedings

RG 33 Security deposits

CO 12/752 Financial requriements for retail OTC derivative issuers 

REP 626 Consumer detriment from OTC binary options and CFDs (see 19-220MR)

CP 322 Product intervention: OTC binary options and CFDs (see 19-220MR)

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Factoring

ASIC Corporations (Factoring Arrangements) Instrument 2017/794

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Financial advisers/planners

RG 20 Disclosure of convictions and proceedings

RG 33 Security deposits

RG 39 Licensed investment advisors – security deposits

RG 84 Super switching advice: Questions and answers

RG 90 Example Statement of Advice for a limited financial advice scenario for a new client

RG 94 Unit pricing: guide to good practice

RG 104 Licensing: Meeting your general obligations

RG 146 Licensing: Training of financial product advisers

RG 175 Licensing: Financial product advisers – conduct and disclosure

RG 179 Managed discretionary account services

RG 182 Dollar disclosure

RG 269 Approval and oversight of compliance schemes for financial advisers

INFO 202 Disputes about the financial advisers register

INFO 232 Fees for no service: Remediation

ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792

ASIC Corporations (Professional Standards—Transitional) Instrument 2018/894 (see 19-309MR)

REP 18 Survey on the quality of financial planning advice—ASIC research report

REP 29 Preferential remuneration project

REP 30 Disclosure of soft dollar benefits: An ASIC research report

REP 50 Superannuation switching surveillance: An ASIC report

REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance

REP 595 Response to submissions on CP 300 Approval and oversight of compliance schemes for financial advisers

CP 329 Implementing the Royal Commission recommendations: Advice fee consents and independence disclosure (see 20-056MR)

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Financial benchmark administrators

RG 268 Licensing regime for financial benchmark administrators

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Financial counselling agencies

ASIC Corporations (Financial Counselling Agencies) Instrument 2017/792

Fintech service providers

See also

Home > For business > Innovation Hub > Enhanced regulatory sandbox

20-195MR ASIC issues guidance for Government’s enhanced regulatory sandbox

INFO 248 Enhanced regulatory sandbox

REP 523 ASIC’s Innovation Hub and our approach to regulatory technology (see 17-155MR)

REP 543 Response to feedback on REP 523 ASIC’s Innovation Hub and our approach to regulatory technology (see 17-315MR)

18-083MR British and Australian regulators strengthen cooperation on fintech through Enhanced Cooperation Agreement

19-108MR ASIC announces problem-solving regtech events for financial services industry

REP 653 ASIC's Regtech Initiatives 2018–19 (see 19-371MR)

REP 685 ASIC's regtech initiatives 2019-20

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Foreign exchange dealers

RG 20 Disclosure of convictions and proceedings

RG 33 Security deposits

RG 166 Licensing : Financial requirements

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Foreign financial service providers

20-058MR Following consultation, ASIC releases new regulatory framework for foreign financial services providers

See 

Regulatory index topic: Other entities - Foreign financial services providers

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General insurers

20-286MR Insurers urged to respond to new accounting standard

ASIC letter to general insurers in the current COVID-19 environment (PDF 153 KB) (see news item)

Letter to Insurance Council of Australia regarding no-action position (PDF 134 KB) (see news item)

ASIC Corporations (Disclosure in Dollars) Instrument 2016/767

ASIC Corporations (Basic Deposit and General Insurance Product Distribution) Instrument 2015/682

See also

Regulatory index topic: Funds management - IDPS and IDPS-like schemes

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Insurance brokers and distributors

REP 42 Insurance broker remuneration arrangements

Letter to Insurance Council of Australia regarding no-action position (PDF 134 KB) (see news item)

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Internet discussion sites

RG 162 Internet discussion sites

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Law societies

RG 144 Mortgage investment schemes

CO 03/1094 Law societies - professional indemnity scheme and fidelity funds

CO 03/1095 Law societies - statutory deposit accounts and public purpose funds

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Life insurance

ASIC letter to life insurers in the current COVID-19 environment (PDF 120 KB) (see news item)

Letter to Insurance Council of Australia regarding no-action position (PDF 134 KB) (see news item)

RG 94 Unit pricing: guide to good practice

RG 97 Disclosing fees and costs in PDSs and periodic statements

RG 139 Approval of external complaints resolution schemes

REP 10 Final report of the national life insurance disability campaign

REP 527 Response to submissions on CP 245 Retail life insurance advice reforms

REP 587 The sale of direct life insurance

REP 588 Consumers’ experiences with the sale of direct life insurance

ASIC Corporations (Life Insurance Commissions) Instrument 2017/510

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Limited AFS licensees

INFO 227 What can limited AFS licensees do?

INFO 228 Limited AFS licensees: Advice conduct and disclosure obligations

INFO 229 Limited AFS licensees: Complying with your licensing obligations

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London Interbank Offered Rate (LIBOR) affected entities

20-083MR Regulators release feedback on financial institutions' preparation for LIBOR transition

INFO 252 Managing conduct risk during LIBOR transition (see 20-304MR)

Market operators

RG 172 Australian market licences: Australian operators

RG 177 Australian market licences: Overseas operators

REP 572 Response to submissions on CP 293 Revising the market licence regime: Domestic and overseas operators

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Market place lending

REP 526 Survey of marketplace lending providers

REP 617 Survey of marketplace lending providers: 2017–18

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Mortgage broker

CP 333 Implementing the Royal Commission recommendations: Reference checking and information sharing (see 20-291MR)

REP 19 Report into mortgage brokers

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Prime brokerage services

ASIC (Amendment, Repeal and Transitional) Instrument 2017/839

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Ratings agencies

RG 55 Disclosure documents and PDS: consent to quote

INFO 143 Credit rating agencies: Guidance on certain AFS licence conditions

INFO 147 Credit rating agencies: Lodging a compliance report with ASIC

REP 143 Review of credit rating agencies and research houses

REP 566 Sureveillance of credit rating agencies

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Research report providers

RG 79 Managing conflicts of interest: An ASIC guide for research report providers

RG 264 Sell side research

REP 560 Response to submissions on CP 290 Sell-side research

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Scheme operators

See

Regulatory index topic: Funds management

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Securities dealers

CP 319 Securities lending by agents and substantial holding disclosure (see 19-193MR)

RG 5 Relevant interests in unissued share capital

RG 20 Disclosure of convictions and proceedings

RG 33 Security deposits

RG 148 Investor directed portfolio services

RG 150 Electronic applications and dealer personalised applications

REP 9 Online trading survey report

REP 21 Report on the review of 2001 and 2002 annual financial reports of South Australian securities dealers

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Securitisation businesses

ASIC Corporations (Securitisation Special Purpose Vehicles) Instrument 2016/272

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Self-dealers

ASIC Corporations (Financial Product Advice – Exempt Documents) Instrument 2016/356 

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Stockbrokers

RG 5 Relevant interests in unissued share capital

RG 31 Acquisitions and disposals by a broker acting as principal

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Superannuation trustees and administrators

See also

Home > Regulatory Resources > Superannuation funds

Media releases

19-327MR ASIC and APRA issue updated MoU

20-034MR ASIC and APRA welcome law reform on superannuation regulator roles

Regulatory guides

RG 84 Super switching advice: Questions and answers

RG 94 Unit pricing: guide to good practice

RG 184 Superannuation: Delivery of product disclosure for investment strategies

RG 200 Advice to super fund members

RG 229 Superannuation forecasts

Legislative instruments

CO 11/1227 Relief for providers of retirement estimates

CO 12/415 In-use notices for employer-sponsored superannuation

CO 12/749 Relief from the Shorter PDF regime

CO 13/1534 Deferral of Stronger Super amendments in relation to PDS and periodic statement disclosure

CO 14/443 Deferral of choice product dashboard and portfolio holdings disclosure regimes (see 19-295MR and 20-315MR)

ASIC Corporations (Superannuation: Accrued Default Amount and Intra-fund Transfers) Instrument 2016/64

ASIC Corporations (Superannuation: Investment Strategies) Instrument 2016/65

ASIC Corporations (Generic Calculators) Instrument 2016/207 (see 19-129MR)

ASIC Corporations (Superannuation and Schemes: Underlying Investments) Instrument 2016/378

ASIC Superannuation (RSE Websites) Instrument 2017/570

ASIC Corporations (Unclaimed Superannuation—Former Temporary Residents) Instrument 2019/873 (see 19-259MR; 19-178MR; CP 318 and submissions)

ASIC Corporations (Disclosure of Fees and Costs) Instrument 2019/1070 (see 19-328MR; REP 637; CP 308 and submissions; and REP 638)

ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2020/355 (see 20-085MR)

Information sheets

INFO 90 As a superannuation trustee, do I need to notify members about member transfers without consent?

INFO 168 Giving and collectively charging for intra-fund advice

INFO 241 Prohibition on influencing employers’ superannuation fund choice: section 68A of the SIS Act (see 19-198MR)

Reports

REP 378 Consumer testing of the MySuper product dashboard

REP 396 Response to submissions on CP 219 Keeping superannuation websites up to date

REP 398 Fee and cost disclosure: Superannuation and managed investment products

REP 418 Response to submissions on CP 203 Age pension estimates in superannuation forecasts: Update to RG 229

REP 455 Consumer testing of the Choice product dashboard

REP 472 Response to submissions on CP 232 Remaking ASIC class orders on superannuation

REP 529 Member experience of superannuation

REP 576 Member experiences with self-managed superannuation funds

REP 591 Insurance in superannuation

REP 655 Review of member communications: Protecting Your Superannuation Package (PYSP) reforms (see 20-030MR)

 

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Trustees

RG 237 Trustee companies: transfer determinations by ASIC

ASIC Corporations (Wholesale Equity Scheme Trustees) Instrument 2017/849

REP 545 Response to submissions on CP 280 ASIC class order on wholesale equity schemes

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Valuers

ASIC Corporations (Real Estate Companies) Instrument 2015/1049

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Wholesale providers

RG 176 Licensing: Discretionary powers — wholesale foreign financial services providers

ASIC Corporations (Foreign Financial Services Providers—Limited Connection) Instrument 2017/182

ASIC Corporations (Repeal and Transitional) Instrument 2016/396

ASIC Corporations (Wholesale Equity Scheme Trustees) Instrument 2017/849

REP 545 Response to submissions on CP 280 ASIC class order on wholesale equity schemes

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Last updated: 07/06/2021 03:54