Ongoing licensee obligations

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Overview

RG 36 Licensing: Financial product advice and dealing

RG 104 AFS licensing: Meeting your general obligations

RG 105 Licensing: Organisational competence

RG 146 Licensing: Training of financial product advisers

RG 165 Internal and external dispute resolution

RG 256 Client review and remediation conducted by advice licensees

RG 256 currently under review

See

20-308MR ASIC consults on consumer remediation guidance

CP 335 Consumer remediation: Update to RG 256

RG 269 Approval and oversight of compliance schemes for financial advisers

INFO 202 Disputes about the financial advisers register

INFO 237 Protecting against share sale fraud

REP 555 Cyber resilience of firms in Australia’s financial markets

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

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Authorised representatives

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 269 Approval and oversight of compliance schemes for financial advisers

INFO 88 Notifying ASIC of the appointment of authorised representatives

INFO 91 Who can be the authorised representative of a licensee?

INFO 202 Disputes about the financial advisers register

INFO 250 Giving AFS and credit licensees information about their representatives (see news item)

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Breach reporting

RG 78 Breach reporting for AFS licensees: An ASIC guide

REP 594 Review of selected financial services groups’ compliance with the breach reporting obligation

Proposed breach reporting reforms

See

CP 340 Breach reporting and related obligations (see 21-080MR)

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Whistleblower policies

RG 270 Whistleblower policies

INFO 238 Whistleblower rights and protections (see 19-164MR)

INFO 239 How ASIC handles whistleblower reports (see 19-164MR)

19-038MR ASIC welcomes new whistleblowing laws

19-308MR ASIC gives guidance on companies’ whistleblower policies and relief to small not-for-profits

19-372MR Whistleblower policies required from 1 January 2020 for certain large and public companies

REP 635 Response to submissions on CP 321 Whistleblower policies (see 19-205MR; and CP 321 and submissions)

ASIC Corporations (Whistleblower Policies) Instrument 2019/1146

Client accounts

RG 104 Licensing: Meeting your general obligations

RG 179 Managed discretionary account services

INFO 226 Complying with the ASIC Client Money Reporting Rules 2017

REP 546 Response to submissions on CP 291 Reporting rules: Derivative retail client money

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Codes of conduct

See also

Home > Regulatory resources > Financial services > ePayments Code

Home > For consumers > Codes of conduct

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

19-319MR ASIC outlines approach to advice licensee obligations for the financial adviser code of ethics

RG 183 Approval of financial services sector codes of conduct

RG 269 Approval and oversight of compliance schemes for financial advisers

REP 329 Response to submissions on CP 191 FOFA: Approval of codes of conduct for exemption from opt-in requirement (see CP 191 and submissions)

ASIC Corporations (Approval of Banking Code of Practice) Instrument 2019/663 (see 19-162MR)

ASIC Corporations (Approval of March 2020 Banking Code of Practice) Instrument 2019/1255 (see 19-358MR)

ASIC Corporations (Approval of Variation of March 2020 Banking Code of Practice) Instrument 2020/602 (see 20-148MR)

ASIC Corporations (Approval of Variation March 2020 Banking Code of Practice) Instrument 2021/11 (see 20-003MR)

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Compensation arrangements

RG 126 Compensation and insurance arrangements for AFS licensees

RG 166 Licensing: Financial requirements

RG 172 Australian market licences: Australian operators

RG 177 Australian market licences: Overseas operators

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

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Conflicted remuneration

RG 246 Conflicted remuneration (see 20-318MR)

REP 328 Response to submissions on CP 189 Future of Financial Advice: Conflicted remuneration

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125 (see 21-058MR)

 

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Derivatives

RG 227 Over-the-counter contracts for difference: Improving disclosure for retail investors

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Dispute resolution

RG 165 Licensing: Internal and external dispute resolution (applies until 5/10/2021: see MR 20-171)

REP 665 Response to submissions on CP 311 Internal dispute resolution: Update to RG 165 (see CP 311 and submissions)

20-327MR ASIC seeks further feedback on internal dispute resolution data reporting requirements

INFO 236 Dispute resolution for Indigenous corporations

The Australian Financial Complaints Authority

18-123MR ASIC welcomes AFCA authorisation

19-182MR ASIC ensures licensees meet their AFCA membership obligations

19-224MR ASIC approves AFCA rule change enabling the naming of firms

RG 267 Oversight of the Australian Financial Complaints Authority

INFO 176 What to do if you are dissatisfied with a decision by the Australian Financial Complaints Authority

ASIC Credit (AFCA transition) Instrument 2018/448 (see 18-158MR)

ASIC Corporations and Credit (Transition to AFCA) Instrument 2018/814

ASIC Corporations (AFCA Regulatory Requirement) Instrument 2020/0433

ASIC Corporations (AFCA Regulatory Requirement) Instrument 2021/0002

19-145MR ASIC approves AFCA Rules change for legacy complaints

External dispute resolution before AFCA

RG 139 Approval and oversight of external dispute resolution schemes

REP 308 Response to submissions on CP 172 Review of EDR jurisdiction (debt recovery legal proceedings)

Internal dispute resolution

RG 165 Licensing: Internal and external dispute resolution (applies before 5/10/2021: see MR 20-171)

RG 271 Internal dispute resolution (applies after 5/10/2021: see MR 20-171) - see also RG 267 and ASIC Corporations, Credit and Superannuation (Internal Dispute Resolution) Instrument 2020/98

REP 665 Response to submissions on CP 311 Internal dispute resolution: Update to RG 165 (see CP 311 and submissions)

REP 603 The consumer journey through the Internal Dispute Resolution process of financial service providers

ASIC Corporations and Credit (Internal Dispute Resolution – Transitional) Instrument 2019/965

Dual credit/AFS licensees

INFO 134 Complying with your obligations if you are both a credit licensee and an AFS licensee

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Financial reporting and audit

See also

Regulatory index topic: Financial reporting 

Regulatory index topic: Auditors

RG 34 Auditors’ obligations: reporting to ASIC

ASIC Corporations (Financial Reporting: Natural Person Licensees) Instrument 2017/307

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

ASIC Corporations (Records: Dealings on Foreign Markets) Instrument 2016/889

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

ASIC Corporations (AFSL Audit Opinion) Instrument 2015/586

REP 409 Response to submissions on CP 214 Updated record-keeping obligations for AFS licensees

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Financial requirements

RG 166 Licensing: Financial requirements

See also

Regulatory index topic: Financial services: Financial services disclosure - Financial services guide

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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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Managing conflicts of interest

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

RG 181 Licensing: Managing conflicts of interest

RG 172 Australian market licences: Australian operators

RG 177 Australian market licences: Overseas operators

RG 246 Conflicted remuneration

RG 248 Litigation schemes and proof of debt schemes: Managing conflicts of interest

REP 486 Sell-side research and corporate advisory: Confidential information and conflices

REP 605 Allocations in equity raising transactions

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125 (see 21-058MR)

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Organisational competence

RG 105 Licensing: Organisational competence

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Adviser training

RG 104 Licensing: Meeting your general obligations

RG 146 Licensing: Training of financial product advisers

RG 269 Approval and oversight of compliance schemes for financial advisers

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

CO 09/340 External dispute resolution procedures

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

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Last updated: 07/06/2021 03:21