ASIC Regulatory Guides

 


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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 - 225 RG 226 - 250 RG 251 -  

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 If you find one that is out of date, please contact us and let us know.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4   Withdrawn
5   Relevant interests and substantial holding notices
6   Takeovers: Exceptions to the general prohibition
7   Calculating time periods
8   Hearings practice manual
9   Takeovers bids
10   Compulsory acquisitions and buyouts
11   Withdrawn
12   Withdrawn
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 23   Withdrawn
 24   Disclosure of directors' interests - unissued shares
 25   Takeovers: false and misleading statements

 


Regulatory Guides 26 - 50

 26   Resignation of auditors
27   Withdrawn
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 31   Withdrawn
 32   Trustee companies common funds
 33   Security deposits
34   Auditors' obligations: reporting to ASIC
 35   Withdrawn
36   Licensing: Financial product advice and dealing
37   Withdrawn
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 42   Withdrawn
 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   Withdrawn
48   Withdrawn
 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   Statements in disclosure documents and PDSs: Consent to quote
 56   Withdrawn
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   Withdrawn
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 and notes - 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
 75   Withdrawn

 


Regulatory Guides 76 - 100

 76   Related party transactions
 77   Property trusts and property syndicates
78   Breach reporting by AFS licensees
79   Research report providers: Improving the quality of investment research
 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
84   Withdrawn
85   Reporting requirements for non-reporting entities
 86   Tracing beneficial ownership
 87   Charities
 88   Withdrawn
89   Not yet released
90   Example Statement of Advice: Scaled advice 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
 95   Disclosing entity provisions relief
96   Debt collection guideline for collectors and creditors (joint publication with ACCC)
97   Disclosing fees and costs in PDSs and periodic statements
98   Licensing: Administrative action against financial services providers
 99   Withdrawn
100   Enforceable undertakings

 


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 investors
129   Business introduction or matching services
130   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   Withdrawn
143   Withdrawn
144   Mortgage investment schemes
145   Withdrawn
146   Licensing: Training of financial product advisers
147   Mutuality - Financial institutions
148   Platforms that are managed investment schemes
149   Nominee and custody services
150   Withdrawn

 


Regulatory Guides 151 - 175

151   Fundraising: Discretionary powers
152   Withdrawn
153   Not yet assigned
154   Certificate by a qualified accountant
155   Withdrawn
156   Advertising of debentures and notes to retail investors
157   Financial reports for offer information statements
158   Withdrawn
159   Withdrawn
160   Time-sharing schemes
161   Share and interest sale facilities
162   Internet discussion sites
163   Takeovers: Minimum bid price principle: s621
164   Withdrawn
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   Withdrawn
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  

Withdrawn

192   Licensing: wholesale equity venture capital schemes
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
197   Warrants: Out-of-use notices
198   Unlisted disclosing entities: Continuous disclosure obligations
199   Withdrawn
200   Withdrawn

 


Regulatory Guides 201 - 225

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
210   Compensation and insurance arrangements for credit licensees
211   Clearing and settlement facilities: Australian and overseas operators
212   Client money relating to dealing in OTC derivatives
213   Facilitating debt raising
214   Guidance on ASIC market integrity rules for ASX and ASX 24 markets
215   Guidance on ASIC market integrity rules for APX, IMB, NSXA and SIM VSE markets
216   Markets Disciplinary Panel
217   Duty to prevent insolvent trading: Guide for directors
218   Licensing: Administrative action against persons engaging in credit activities
219   Non-standard margin lending facilities: Disclosure to investors
220   Early termination fees for residential loans: Unconscionable fees and unfair contract terms
221   Facilitating digital financial services disclosures
222   Substantial holding disclosure: Securities lending and prime broking
223   Guidance on ASIC market integrity rules for competition in exchange markets
224   Guidance on ASIC market integrity rules for the Chi-X market
225   Markets Disciplinary Panel practices and procedures

 


Regulatory Guides 226 - 250

226   Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets
227   Over-the-counter contracts for difference: Improving disclosure for retail investors
228   Prospectuses: Effective disclosure for retail investors
229   Superannuation forecasts
230   Disclosing non-IFRS financial information
231   Infrastructure entities: Improving disclosure for retail investors
232   Agribusiness managed investment schemes: Improving disclosure for retail investors
233   Indirect self-acquisition: Relief for investment funds
234   Advertising financial products and advice services: Good practice guidance
235   Registering your business name
236   Do I need an AFS licence to participate in carbon markets?
237   Trustee companies: Transfer determinations by ASIC
238   Suspicious activity reporting
239   Withdrawn
240   Hedge funds: Improving disclosure
241   Electronic trading
242   ASIC’s power to wind up abandoned companies
243   Registration of self-managed superannuation fund auditors
244   Giving information, general advice and scaled advice
245   Fee disclosure statements
246   Conflicted remuneration
247   Effective disclosure in an operating and financial review
248   Litigation schemes and proof of debt schemes: Managing conflicts of interest
249   Derivative trade repositories
250   Guidance on ASIC market integrity rules for risk management and other requirements: ASX 24 market

 


Regulatory Guides 251 -

251   Derivative transaction reporting
252   Keeping superannuation websites up to date
253   Fundraising: Facilitating offers of CHESS Depository Interests
254   Offering securities under a disclosure document

 

 

 


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