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 - 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 If you find one that is out of date, please contact us and let us know.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Superseded (see RG 111 and RG 112)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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