ASIC Regulatory Guides

Welcome to our access page to ASIC Regulatory Guides. To make it easier to find the Regulatory Guide you're after, we've divided them into the following groups:

RG 1 - 25	RG 26 - 50	RG 51 - 75	RG 76 - 100
RG 101 - 125	RG 126 - 150	RG 151 - 175	RG 176 - 200
RG 201 - 209

Clicking on a link below will take you directly to ASIC's on-line copy of that Regulatory Guide. We check these links regularly to ensure that they are up to date. If you find one that is out of date, please contact us and let us know.

Regulatory Guides 1 - 25

1	AFS Licensing Kit: Part 1 - Applying for and varying an AFS licence
2	AFS Licensing Kit: Part 2 - Preparing your AFS licence application
3	AFS Licensing Kit: Part 3 - Preparing your additional proofs
4	Intervention
5	Relevant interests in unissued share capital
6	Variation of takeover offers
7	Calculating time periods
8	Hearings practice manual (ee also ASIC's information sheet on Administrative hearings)
9	Relevant interests in shares
10	Classes of shares
11	Disclosure of offerors' intentions in takeover documents
12	Valuation reports and profit forecasts Superseded (see RG 111 and RG 112)
13	ACN, ARBN and company names
14	Receivers - retention of company records
15	Enforcement action - no undertakings
16	External administration - reporting and lodging
17	Fees for subpoenas
18	Serving legal documents on the ASC
19	Film investment schemes
20	Disclosure of convictions and proceedings
21	How ASIC charges fees for relief applications
22	Directors' statement as to solvency
23	Updating and correcting prospectuses and application forms
24	Disclosure of directors' interests - unissued shares
25	Takeovers: false and misleading statements

Regulatory Guides 26 - 50

26	Resignation of auditors
27	Takeovers: minimum acceptance conditions
28	Relief from dual lodgment of financial reports
29	Financial reporting by Australian entities in dual-listed company arrangements
30	Paperless issues under a global debenture
31	Acquisitions and disposals by a broker acting as principal
32	Trustee companies common funds
33	Security deposits
34	Auditors' obligations: reporting to ASIC
35	Collateral benefits in takeovers
36	Licensing: Financial product advice and dealing
37	Takeovers - financing arrangements
38	The hawking prohibitions
39	Licensed investment advisers - security deposits
40	Good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
41	Limited partnerships fundraising
42	Independence of experts' reports Superseded (see RG 111 and RG 112)
43	Accounts and audit relief
44	Annual general meeting - extension of time
45	Mortgage schemes-improving disclosure for retails investors
46	Unlisted property schemes-improving disclosure for retails investors
47	Public comment
48	Takeovers aspects of options over shares
49	Employee share schemes
50	Omission of "Limited" from company names

Regulatory Guides 51 - 75

51	Applications for relief
52	Enforcement action submissions
53	The use of past performance in promotional material
54	Principles for cross border financial services regulation
55	Disclosure documents and PDS: consent to quote
56	Prospectuses
57	Notification of rights of review
58	Reporting requirements - registered foreign companies and Australian companies with foreign company shareholders
59	Announcing and withdrawing takeover bids (s653 and s746)
60	Schemes of arrangement - s411(17)
61	Underwriting - application of exemptions
62	Better disclosure for investors
63	Access to debenture and prescribed interest registers
64	Failure to lodge documents
65	Section 1013DA disclosure guidelines
66	Transaction specific disclosure
67	Real estate companies
68	New financial reporting and procedural requirements
69	Debentures - improving disclosure for retail investors
70	Prospectuses for cash box and investment companies
71	Downstream acquisitions
72	Foreign securities prospectus relief
73	Continuous disclosure obligations: Infringement notices
74	Acquisitions agreed to by shareholders Paragraphs RG 74.15 and RG 74.20–RG 74.29 of this guide have been superseded (see RG 111 and RG 112)
75	Independent expert reports to shareholders Superseded (see RG 111 and RG 112)

Regulatory Guides 76 - 100

76	Related party transactions
77	Property trusts and property syndicates
78	Breach reporting by AFS licensees
79	Managing conflicts of interest: An ASIC guide for research report providers
80	Managed investment schemes - interests not for money
81	Destruction of books
82	External administration: Deeds of company arrangement involving a creditor's trust
83	Reinstatement of companies (under review)
84	Super switching advice: Questions and answers
85	Reporting requirements for non-reporting entities
86	Tracing beneficial ownership
87	Charities
88	Trustee and nominee companies
89	Disclosing pro forma financial information (not yet released)
90	Example Statement of Advice for a limited financial advice scenario for a new client
91	Horse racing and breeding schemes
92	Procedural fairness to third parties
93	Reimbursing liquidation costs
94	Unit pricing: Guide to good practice (joint publicaton with APRA)
95	Disclosing entity provisions relief
96	Debt collection guideline for collectors and creditors (joint publication with ACCC)
97	Enhanced fee disclosure regulations: Questions and answers
98	Licensing: Administrative action against financial services providers
99	Quotation of securities offered by prospectus
100	Enforceable undertakings (see also Enforceable undertakings templates)

Regulatory Guides 101 - 125

101	On-market buy-backs by ASX-listed schemes
102	Tender offers by vendor shareholders
103	Confidentiality and release of information
104	Licensing: Meeting the general obligations
105	Licensing: Organisational competence
106	Controller duties and bank accounts
107	Electronic prospectuses
108	No-action letters
109	Assetless administration fund: Funding criteria and guidelines
110	Share buy-backs
111	Content of expert reports
112	Independence of experts
113	Not yet assigned
114	Not yet assigned
115	Audit relief for proprietary companies
116	Commentary on compliance plans: Agricultural industry schemes
117	Commentary on compliance plans: Financial asset schemes
118	Commentary on compliance plans: Contributory mortgage schemes
119	Commentary on compliance plans: Pooled mortgage schemes
120	Commentary on compliance plans: Property schemes
121	Doing financial services business in Australia
122	Not yet assigned
123	Not yet assigned
124	Not yet assigned
125	Share purchase plans

Regulatory Guides 126 - 150

126	Compensation and insurance arrangements for AFS licensees
127	Additional investments in managed investment schemes
128	Collective action by institutional investors
129	Business introduction or matching services
130	Managed investments: Licensing (withdrawn)
131	Not yet assigned
132	Managed investments: Compliance plans
133	Managed investments: Scheme property arrangements
134	Managed investments: Constitutions
135	Managed investments: Transitional issues
136	Managed investments: Discretionary powers and closely related schemes
137	Not yet assigned
138	Not yet assigned
139	Approval of external complaints resolution schemes
140	Serviced strata schemes
141	Offers of securities on the Internet
142	Schemes of arrangement and ASIC review Superseded (see RG 60)
143	Takeovers provisions: Warrants
144	Mortgage investment schemes
145	Collateral benefits - Takeovers funding and pre-bid purchases
146	Licensing: Training of financial product advisers
147	Mutuality - Financial institutions
148	Investor directed portfolio services
149	Nominee and custody services
150	Electronic applications and dealer personalised applications

Regulatory Guides 151 - 175

151	Fundraising: Discretionary powers
152	Lodgment of disclosure documents
153	Not yet assigned
154	Certificate by a qualified accountant
155	Debenture prospectuses
156	Debenture advertising
157	Financial reports for offer information statements
158	Advertising and publicity for offers of securities
159	Takeovers, compulsory acquisitions and substantial holdings
160	Time-sharing schemes
161	Share and interest sale facilities
162	Internet discussion sites
163	Takeovers: Minimum bid price principle: s621
164	Superseded (see RG 104 and RG 105)
165	Licensing: Internal and external dispute resolution
166	Licensing: Financial requirements
167	Licensing: Discretionary powers
168	Disclosure: Product disclosure statements (and other disclosure obligations)
169	Disclosure: Discretionary powers
170	Prospective financial information
171	Anomalies and issues in the takeover provisions
172	Australian market licences: Australian operators
173	Disclosure for on-sale of securities and other financial products
174	Externally administered companies: Financial reporting and AGMs
175	Licensing: Financial product advisers – conduct and disclosure

Regulatory Guides 176 - 199

176	Licensing: Discretionary powers - wholesale foreign financial services providers
177	Australian market licences: Overseas operators
178	Foreign collective investment schemes
179	Managed discretionary account services
180	Auditor registration
181	Licensing: Managing conflicts of interest
182	Dollar disclosure
183	Approval of financial services sector codes of conduct
184	Superannuation: Delivery of product disclosure for investment strategies
185	Non-cash payment facilities
186	External administration: liquidator registration
187	Auditor rotation
188	Disclosure in reconstructions
189	Disclosure relief for rights issues
190	Offering securities in New Zealand and Australia under mutual recognition
191	Superannuation: helping investors look at longer-term returns - ASIC’s best practice guide (withdrawn)
192	Licensing: wholesale equity venture capital schemes - trustee licensing
193	Notification of directors' interests in securities - listed companies
194	Insurance requirements for registered liquidators
195	Group purchasing bodies for insurance and risk products
196	Short selling: Overview of s1020B
197	Warrants: Out-of-use notices
198	Unlisted disclosing entities: Continuous disclosure obligations
199	Broadening the rights issue and dividend reinvestment plan exceptions for takeovers
200	Advice to super fund members

Regulatory Guides 201 - 208

201	Unsolicited credit cards and debit cards
202	Credit registration and transition
203	Do I need a credit licence?
204	Applying for and varying a credit licence
205	Credit licensing: General conduct obligations
206	Credit licensing: Competence and training
207	Credit licensing: Financial requirements
208	How ASIC charges fees for credit relief applications
209	Credit licensing: Responsible lending conduct obligations

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