FSR Source Materials

On this page, you will find a collection of source materials for the financial services reforms introduced in March 2002. It is divided into the following sections:

Consolidated Acts and Regulations
FSR Legislation
FSR Regulations
ASIC FSR Class Orders
ASIC AFS Licensing Kit
ASIC Standard AFS Licence Conditions
ASIC FSR Regulatory Guides
ASIC FSR Consultation Papers
Other ASIC FSR Publications
CLERP Papers
Other FSR Background Materials
FSR Web Sites

Consolidated Acts and Regulations

	Corporations Act
	Corporations Regulations
	Australian Securities and Investments Commission Act
	Australian Securities and Investments Commission Regulations
	Banking (Foreign Exchange) Regulations
	Corporations (Fees) Act
	Corporations (Fees) Regulations
	Insurance Act
	Insurance Regulations
	Insurance Contracts Act
	Insurance Contracts Regulations
	Life Insurance Act
	Life Insurance Regulations
	Retirement Savings Account Act
	Retirement Savings Account Regulations
	Superannuation Industry (Supervision) Act
	Superannuation Industry (Supervision) Regulations

FSR Legislation

	Financial Services Reform Act 2001 and Explanatory Memorandum
	Financial Services Reform (Consequential Provisions) Act 2001 and Explanatory Memorandum
	Financial Services Reform (Consequential Provisions) Act 2002 and Explanatory Memorandum
	Financial Services Reform Amendment Act 2003 and Explanatory Memorandum
	Corporate Law Economic Reform Program (Audit Reform and Corporate Disclosure) Act 2004 and Explanatory Memorandum
	Corporations Legislation Amendment (Simpler Regulatory System) Act 2007 and Explanatory Memorandum

FSR Regulations

	Corporations Amendment Regulations 2001 (No 4) SR 319/2001 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 1) SR 15/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 2) SR 16/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 3) SR 41/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 4) SR 53/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 5) SR 126/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 6) SR 145/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 7) SR 182/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 8) SR 265/2002 and Explanatory Statement
	Corporations Amendment Regulations 2002 (No 9) SR 282/2002 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 1) SR 31/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 2) SR 48/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 3) SR 85/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 4) SR 126/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 5) SR 127/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 7) SR 202/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 8) SR 282/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 9) SR 367/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 10) SR 368/2003 and Explanatory Statement
	Corporations Amendment Regulations 2003 (No 11) SR 369/2003 and Explanatory Statement
	Corporations Amendment Regulations 2004 (No 2) SR 25/2004 and Explanatory Statement
	Corporations Amendment Regulations 2004 (No 3) SR 26/2004 and Explanatory Statement
	Corporations Amendment Regulations 2004 (No 4) SR 36/2004 and Explanatory Statement
	Corporations Amendment Regulations 2004 (No 6) SR 149/2004 and Explanatory Statement
	Corporations Amendment Regulations 2004 (No 7) SR 208/2004 and Explanatory Statement
	Corporations Amendment Regulations 2004 (No 8) SR 398/2004 and Explanatory Statement
	Corporations Amendment Regulations 2005 (No 1) SR 31/2005 and Explanatory Statement
	Corporations Amendment Regulations 2005 (No 2) SR 38/2005 and Explanatory Statement
	Corporations Amendment Regulations 2005 (No 3) SR 139/2005 and Explanatory Statement
	Corporations Amendment Regulations 2005 (No 5) SR 324/2005 and Explanatory Statement
	Corporations Amendment Regulations 2007 (No 6) SR 197/2007 and Explanatory Statement
	Corporations Amendment Regulations 2007 (No 10) SR 259/2007 and Explanatory Statement
	Corporations Amendment Regulations 2007 (No 12) SR 324/2007 and Explanatory Statement
	Corporations Amendment Regulations 2008 (No. 1) SR 93/2008 and Explanatory Statement
	Corporations Amendment Regulations 2008 (No. 2) SR 94/2008 and Explanatory Statement
	Corporations Amendment Regulations 2008 (No. 3) SR 130/2008 and Explanatory Statement
	Corporations Amendment Regulations 2008 (No. 4) SR 158/2008 and Explanatory Statement
	Corporations Amendment Regulations 2008 (No. 5) SR 194/2008 and Explanatory Statement
	Corporations Amendment Regulations 2009 (No. 1) SR 12/2009 and Explanatory Statement

	Corporations (Fees) Amendment Regulations 2001 (No 1) SR 320/2001 and Explanatory Statement
	Corporations (Fees) Amendment Regulations 2002 (No 1) SR 42/2002 and Explanatory Statement
	Corporations (Fees) Amendment Regulations 2003 (No 1) SR 128/2003 and Explanatory Statement

	Australian Securities and Investments Commission Amendment Regulations 2001 (No 1) SR 317/2001 and Explanatory Statement
	Australian Securities and Investments Commission Amendment Regulations 2002 (No 1) SR 39/2002 and Explanatory Statement
	Australian Securities and Investments Commission Amendment Regulations 2002 (No 2) SR 124/2002 and Explanatory Statement
	Australian Securities and Investments Commission Amendment Regulations 2003 (No 1) SR 107/2003 and Explanatory Statement
	Australian Securities and Investments Commission Amendment Regulations 2004 (No. 3) SR 397/2004 and Explanatory Statement

	Banking (Foreign Exchange) Amendment Regulations 2002 (No 1) SR 40/2002 and Explanatory Statement
	Insurance (Agents and Brokers) Repeal Regulations 2002 SR 17/2002 and Explanatory Statement
	Insurance Contracts Amendment Regulations 2002 (No 1) SR 18/2002 and Explanatory Statement
	Life Insurance Amendment Regulations 2002 (No 1) SR 19/2002 and Explanatory Statement
	Retirement Savings Accounts Amendment Regulations 2002 (No 1) SR 20/2002 and Explanatory Statement
	Superannuation Industry (Supervision) Amendment Regulations 2002 (No 1) SR 21/2002 and Explanatory Statement
	Superannuation Industry (Supervision) Amendment Regulations 2002 (No 4) SR 171/2002 and Explanatory Statement

ASIC FSR Class Orders

FSR Class Orders

ASIC AFS Licensing Kit

	Applying for an AFS Licence: eLicensing
	AFS Licensing Kit: Part 1 — Applying for and varying an AFS licence
	AFS Licensing Kit: Part 2 — Preparing your AFS licence application
	AFS Licensing Kit: Part 3 — Preparing your additional proofs
	Sample Licence Application

ASIC Standard AFS Licence Conditions

ASIC Pro Forma 209

ASIC FSR Regulatory Guides

	RG 1 AFS Licensing Kit: Part 1 — Applying for and varying an AFS licence
	RG 2 AFS Licensing Kit: Part 2 — Preparing your AFS licence application
	RG 3 AFS Licensing Kit: Part 3 — Preparing your additional proofs
	RG 36 Licensing: Financial product advice and dealing
	RG 38 The hawking prohibitions
	RG 39 Licensed investment advisers — security deposits
	RG 40 Good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
	RG 54 Principles for cross border financial services regulation
	RG 104 Licensing: Meeting the general obligations
	RG 105 Licensing: Organisational competence
	RG 126 Compensation and insurance arrangements for AFS licensees
	RG 146 Licensing: Training of financial product advisers
	RG 165 Licensing: Internal and external dispute resolution
	RG 166 Licensing: Financial requirements
	RG 167 Licensing: Discretionary powers
	RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)
	RG 169 Disclosure: Discretionary powers
	RG 172 Australian market licences - Australian operators
	RG 173 Disclosure for on-sale of securities and other financial products
	RG 175 Licensing: Financial product advisers – conduct and disclosure
	RG 176 Discretionary powers - wholesale foreign financial services providers
	RG 177 Australian market licences: Overseas operators
	RG 178 Foreign collective investment schemes
	RG 179 Managed discretionary account services
	RG 181 Licensing: Managing conflicts of interest
	RG 182 Dollar disclosure
	RG 183 Approval of financial services sector codes of conduct
	RG 184 Superannuation: Delivery of product disclosure strategies
	RG 185 Non-cash payment facilities
	RG 191 Superannuation: helping investors look at longer-term returns - ASIC’s best practice guide
	RG 192 Licensing: wholesale equity venture capital schemes - trustee licensing
	RG 195 Group purchasing bodies for insurance and risk products
	RG 196 Short selling: Overview of s1020B
	RG 197 Warrants: Out-of-use notices
	RG 200 Advice to super fund members

ASIC FSR Consultation Papers

	CP 15 Disclosure: Discretionary powers and transition (formerly PPP5)
	CP 16 Disclosure: Product disclosure statements (and other disclosure obligations) formerly PPP4)
	CP 17 Licensing: Adapting IPS 146 to the Financial Services Reform regime (formerly PPP3)
	CP 18 Licensing: Organisational capacities (formerly PPP2)
	CP 19 Licensing: The scope of the licensing regime: Financial product advice and dealing (formerly PPP1)
	CP 21 Approval of codes (formerly PPP9)
	CP 22 Licensing: Discretionary powers (formerly PPP8)
	CP 23 Licensing: External and internal dispute resolution procedures (formerly PPP7)
	C P 24 Licensing: Principals and representatives (formerly PPP6)
	CP 25 Licensing: Financial requirements (formerly PPP10)
	CP 26 Licensing and disclosure: Making the transition to the FSR regime
	CP 29 Australian market licences: Australian operators (formerly PPP11)
	CP 37 Foreign collective investment schemes
	CP 38 Australian market licences: Overseas operators
	CP 39 Licensing: Financial product advisers – Conduct and disclosure
	CP 40 Licensing: Discretionary powers – Foreign financial services providers
	CP 44 Managed discretionary account services
	CP 46 Licensing: Managing conflicts of interest
	CP 48 CLERP 9: Product disclosure
	CP 52 Dollar disclosure
	CP 53 Licensing: Securitisation
	CP 56 Superannuation: Delivery of product disclosure and investment choice
	CP 59 Non cash payment facilities
	CP 71 Repetition of the general advice warning
	CP 73 Managing conflicts of interest in the financial services industry
	CP 75 Updating PS 164: Organisational competence
	CP 76 Updating PS 164: Meeting the general obligations
	CP 87 Compensation and insurance arrangements for AFS licensees
	CP 88 Reviewing and updating RG 146: Training of financial product advisers
	CP 92 APRA & ASIC Discussion Paper - Streamlining Breach Reporting

Other ASIC FSR Publications

	Responsible officers: demonstrating compliance with organisational competency obligations: an ASIC guide
	Small business and your AFS licence: compliance with Policy Statement 164
	Meeting the financial requirements for your AFS licence: compliance with Policy Statement 166
	A model for fee disclosure in product disclosure statements for investment products
	Revised fee disclosure model

CLERP Papers

	Policy Framework
	Policy Reforms
	CLERP 1 - Building International Opportunities for Australian Business
	CLERP 2 - Capital Raising Initiatives to Build Enterprise and Employment
	CLERP 3 - Facilitating Innovation and Protecting Investors
	CLERP 4 - Corporate Control: A Better Environment for Productive Investment
	CLERP 5 - Cutting Cybertape - Building Business
	CLERP 6 - Promoting Competition, Financial Innovation and Investment
	CLERP 7 - Streamlining Paperwork Under the Corporations Law
	CLERP 8 - Cross-border Insolvency
	CLERP 9 - Corporate Disclosure

Other FSR Background Materials

	Financial System (Wallis) Enquiry Final Report
	Implementing CLERP 6 ASIC Consultation Paper
	2000 Exposure Draft FSR Bill and links to Commentary (in 15 parts)
	Senate Joint Committee on Corporations and Financial Services - Inquiry into the regulations and ASIC policy statements made under the Financial Services Reform Act 2001
	Refinements to Financial Services Regulation - Proposal paper

FSR Web Sites

	ASIC Financial Services Home Page
	ASIC FSR Frequently Asked Questions
	Treasury Financial Services Page
	Allens Arthur Robinson FSR Page

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