Australian Securities and Investments Commission

239 documents, newest first — showing 1–200.

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2026-06-09RG 234 Advertising financial products and services (including credit)
2026-06-04RG 71 Downstream acquisitions
2026-06-03RG 228 Prospectuses: Effective disclosure for retail investors
2026-06-03RG 55 Statements in disclosure documents and PDSs: Consent to quote
2026-06-03RG 110 Share buy-backs
2026-06-03RG 67 Real estate companies
2026-06-03RG 253 Fundraising: Facilitating offers of CHESS Depository Interests
2026-05-01RG 43 Financial Reporting and Audit Relief
2026-04-24RG 29 Financial reporting by Australian entities in dual listed company arrangements (withdrawn)
2026-04-21RG 51 Applications for relief
2026-04-21RG 236 Do I need an AFS licence to participate in carbon markets
2026-04-21RG 277 Consumer remediation
2026-04-21RG 262 Crowd-sourced funding: Guide for intermediaries
2026-04-21RG 133 Funds management and custodial services: Holding assets
2026-04-21RG 112 Independence of experts
2026-04-21RG 237 Trustee companies: Transfer determinations by ASIC
2026-04-21RG 1 Applying for and varying an AFS licence
2026-04-21RG 246 Conflicted and other banned remuneration
2026-04-21RG 131 Funds management: Establishing and registering a fund
2026-04-21RG 100 Court enforceable undertakings
2026-04-08RG 169 Hawking and disclosure: Discretionary powers
2026-04-08RG 121 Doing financial services business in Australia
2026-04-08RG 94 Unit pricing: Guide to good practice
2026-04-08RG 138 Foreign passport funds
2026-04-07RG 125 Share and interest purchase plans
2026-04-07RG 173 Disclosure for on-sale of securities and other financial products
2026-04-07RG 251 Derivative transaction reporting
2026-04-07RG 189 Disclosure relief for rights issues
2026-04-07RG 254 Offering securities under a disclosure document
2026-04-02RG 276 Superannuation forecasts: Calculators and retirement estimates
2026-04-02RG 167 AFS licensing: Discretionary powers
2026-03-26RG 28 Relief from dual lodgment of financial reports (withdrawn)
2026-03-23RG 154 Certificate by a qualified accountant (withdrawn)
2026-03-09RG 205 Credit licensing: General conduct obligations
2026-03-09RG 104 AFS licensing: Meeting the general obligations
2026-03-09RG 64 Failure to lodge documents (withdrawn)
2026-03-09RG 40 Good transaction fee disclosure for bank, building society and credit union deposit and payments products (withdrawn)
2026-03-04RG 231 Infrastructure entities: Improving disclosure for retail investors
2026-03-04RG 240 Hedge funds: Improving disclosure
2026-03-04RG 232 Agribusiness managed investment schemes: Improving disclosure for retail investors
2026-03-04RG 166 AFS licensing: Financial requirements
2026-03-04RG 46 Unlisted property schemes: Improving disclosure for retail investors
2026-03-04RG 45 Mortgage schemes: Improving disclosure for retail investors
2026-03-04RG 178 Foreign Collective Investment Schemes
2026-02-20RG 78 Breach reporting by AFS licensees and credit licensees
2026-02-15RG 26 Resignation, removal and replacement of auditors
2026-01-20RG 181 AFS licensing: Managing conflicts of interest
2026-01-08RG 183 Codes of conduct for the financial services and credit sectors
2025-12-19RG 264 Sell-side research
2025-12-17RG 172 Financial markets: Domestic and overseas operators
2025-12-17RG 266 Guidance on ASIC market integrity rules for participants of futures markets
2025-12-17RG 265 Guidance on ASIC market integrity rules for participants of securities markets
2025-12-11RG 134 Funds management: Constitutions
2025-12-11RG 137 Constitution requirements for schemes registered before 1 October 2013
2025-12-04RG 13 ACN, ARBN and company names (withdrawn)
2025-12-02RG 221 Facilitating digital financial services disclosures
2025-12-02RG 197 Warrants: Out-of-use Notices (Withdrawn)
2025-12-02RG 168 Product Disclosure Statements: Disclosure and other obligations
2025-12-02RG 126 Compensation and insurance arrangements for AFS licensees
2025-11-07RG 282 Exchange traded products
2025-10-21RG 72 Foreign securities: Disclosure relief
2025-10-14RG 260 Communicating findings from audit files to directors, audit committees or senior managers
2025-10-12RG 242 ASIC’s power to wind up abandoned companies
2025-10-01RG 201 Unsolicited credit cards and debit cards
2025-10-01RG 280 Sustainability reporting
2025-09-18RG 34 Auditor obligations: Reporting to ASIC
2025-08-08RG 140 Strata schemes and management rights schemes
2025-06-30RG 136 Funds management: Discretionary powers
2025-06-30RG 132 Funds management: Compliance and oversight
2025-06-16RG 179 Managed discretionary accounts
2025-06-16RG 176 Foreign financial services providers
2025-06-16RG 3 AFS Licensing Kit: Part 3 – Preparing your additional proofs (withdrawn)
2025-06-16RG 148 Platforms that are managed investment schemes and nominee and custody services
2025-06-16RG 2 AFS Licensing Kit: Part 2 – Preparing your AFS licence or variation application (withdrawn)
2025-06-16RG 105 AFS licensing: Organisational competence
2025-05-08RG 281 Low cost credit contracts
2025-05-07RG 204 Applying for and varying a credit licence
2025-05-07RG 203 Do I need a credit licence?
2025-04-01RG 129: Business Introduction or Matching Services
2025-03-20RG 216 Markets Disciplinary Panel
2025-03-05RG 209 Credit licensing: Responsible lending conduct
2025-02-13RG 57 Notification of Rights of Review (Withdrawn)
2025-02-13RG 21 How ASIC charges fees for relief applications (withdrawn)
2025-02-13RG 208 How ASIC charges fees for credit relief applications (withdrawn)
2025-02-13RG 108 No-action letters
2024-12-05RG 217 Duty to prevent insolvent trading: Guide for directors
2024-12-01RG 248 Litigation schemes and proof of debt schemes: Managing conflicts of interest
2024-11-25RG 211 Clearing and settlement facilities: Australian and overseas operators
2024-11-25RG 249 Derivative trade repositories
2024-11-25RG 268 Licensing regime for financial benchmark administrators
2024-11-21RG 175 AFS licensing: Financial product advisers—Conduct and disclosure
2024-10-15RG 258 Registered liquidators: Registration, ongoing obligations, disciplinary actions and insurance requirements
2024-10-14RG 263 Financial Services and Credit Panel
2024-08-30RG 207 Credit licensing: Financial requirements
2024-08-30RG 206 Credit licensing: Competence and training
2024-07-15RG 162 Internet discussion sites
2024-07-11RG 279 Financial Accountability Regime: Information for accountable entities
2024-03-28RG 38 The hawking prohibition
2024-03-26RG 6 Takeovers: Exceptions to the general prohibition
2024-03-26RG 5 Relevant interests and substantial holding notices
2024-01-23RG 270 Whistleblower policies
2024-01-23RG 278 ADIs: Transitioning to the Financial Accountability Regime
2023-11-09RG 220 Early termination fees for residential loans: Unconscionable fees and unfair contract terms
2023-09-28RG 252 Keeping superannuation websites up to date (withdrawn)
2023-08-15RG 41 Limited partnerships fundraising (withdrawn)
2023-08-15RG 63 Access to debenture and prescribed interest registers (withdrawn)
2023-08-15RG 106 Controller duties and bank accounts (withdrawn)
2023-08-15RG 32 Trustee companies common funds (withdrawn)
2023-08-15RG 39 Licensed investment advisers: Security deposit (withdrawn)
2023-08-15RG 135 Managed investments: Transitional issues (withdrawn)
2023-08-15RG 139 Approval and oversight of external dispute resolution schemes (withdrawn)
2023-08-15RG 147 Mutuality: Financial institutions (withdrawn)
2023-08-15RG 33 Security deposits (withdrawn)
2023-08-15RG 14 Receivers: Retention of company records (withdrawn)
2023-08-15RG 20 Disclosure of convictions and proceedings (withdrawn)
2023-07-30RG 81 External administration: Early destruction of books
2023-06-25RG 273 Mortgage brokers: Best interests duty
2023-05-30RG 269 Approval and oversight of compliance schemes for financial advisers (withdrawn)
2023-03-29RG 22 Directors’ solvency declaration
2022-10-06RG 259 Risk management systems of fund operators
2022-03-28RG 275 The deferred sales model for add-on insurance
2021-11-11RG 97: Disclosing Fees and Costs in PDSs and Periodic Statements
2021-04-13RG 96 Debt collection guideline: For collectors and creditors
2021-03-30RG 164 Licensing: Organisational capacities (withdrawn)
2021-03-30RG 257 Testing fintech products and services without holding an AFS or credit licence (withdrawn)
2021-03-30RG 83 Reinstatement of companies
2021-03-30RG 210 Compensation and insurance arrangements for credit licensees
2021-03-30RG 191 Superannuation: helping investors look at longer-term returns - ASIC's best practice guide (withdrawn)
2021-03-30RG 47 Public comment (withdrawn)
2021-03-30Independence of experts' reports (withdrawn)
2021-03-30RG 111 Content of expert reports
2021-03-30RG 75 Independent expert reports to shareholders (withdrawn)
2020-07-30RG 271 Internal dispute resolution
2020-07-30RG 165 Licensing: Internal and external dispute resolution (withdrawn)
2020-06-19RG 261 Crowd-sourced funding: Guide for companies
2020-06-19RG 58 Reporting by registered foreign companies and Australian companies with foreign shareholders
2020-06-19RG 115 Audit relief for proprietary companies
2020-06-17RG 272 Product intervention power
2018-09-20RG 98 ASIC’s powers to suspend, cancel and vary AFS licences and make banning orders
2018-06-20RG 267 Oversight of the Australian Financial Complaints Authority
2018-05-04RG 238 Suspicious activity reporting (withdrawn)
2018-05-04Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets (withdrawn)
2018-05-04RG 214 Guidance on ASIC market integrity rules for ASX and ASX 24 markets (withdrawn)
2018-05-04RG 250 Guidance on ASIC market integrity rules for risk management and other requirements: ASX 24 market (withdrawn)
2018-05-04RG 223 Guidance on ASIC market integrity rules for competition in exchange markets (withdrawn)
2017-12-07RG 90 Example Statement of Advice: Scaled advice for a new client
2017-02-22RG 245 Fee disclosure statements (withdrawn)
2016-12-15RG 149 Nominee and custody services (withdrawn)
2016-09-15RG 256 Client review and remediation conducted by advice licensees
2016-08-30RG 255 Providing digital financial product advice to retail clients
2016-03-17RG 99 Quotation of securities offered by prospectus (s1031)
2014-12-19RG 190 Offering financial products in New Zealand and Australia under mutual recognition
2014-11-13RG 229 Superannuation forecasts (withdrawn)
2014-10-31RG 49 Employee incentive schemes
2014-10-20RG 239 Retail OTC derivative issuers: Financial requirements (withdrawn)
2014-10-20RG 130 Managed investments: Licensing (withdrawn)
2014-10-20RG 27 Takeovers: Minimum acceptance conditions (withdrawn)
2014-10-20RG 61 Underwriting: Application of exemptions (withdrawn)
2014-10-20RG 37 Takeovers: Financing arrangements (withdrawn)
2014-10-20RG 35 Collateral benefits in takeovers (withdrawn)
2014-10-20RG 171 Anomalies and issues in the takeover provisions (withdrawn)
2014-10-20RG 142 Schemes of arrangement and ASIC review (withdrawn)
2014-10-20RG 159 Takeovers, compulsory acquisitions and substantial holdings (withdrawn)
2014-10-20RG 48 Takeovers aspects of options over shares (withdrawn)
2014-10-20RG 200 Advice to Super Fund Members
2014-10-20RG 150 Electronic applications and dealer personalised applications (withdrawn)
2014-10-20RG 12 Valuation Reports and Profit Forecasts
2014-10-20RG 4 Intervention (withdrawn)
2014-10-20RG 11 Disclosure of offerors intentions in takeover documents (withdrawn)
2014-10-20RG 143 Takeovers provisions: Warrants (withdrawn)
2014-10-20RG 145 Collateral benefits: Takeovers funding and pre-bid purchases (withdrawn)
2014-10-20RG 31 Acquisitions and disposals by a broker acting as principal (withdrawn)
2014-10-20RG 199 Broadening the rights issue and dividend reinvestment plan exceptions for takeovers (withdrawn)
2014-10-20RG 88 Trustee and nominee companies (withdrawn)
2014-10-20RG 84 Super switching advice: Questions and answers (withdrawn)
2014-03-03RG 107 Fundraising: Facilitating electronic offers of securities
2013-11-15RG 160 Time-sharing schemes
2013-08-21RG 241 Electronic Trading
2013-08-20RG 36 Licensing: Financial product advice and dealing
2013-08-15RG 235 Registering your business name
2013-08-05RG 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi X and APX markets (withdrawn)
2013-08-05RG 224 Guidance on ASIC market integrity rules for Chi-X and APX markets (withdrawn)
2013-06-21RG 9 Takeover bids
2013-06-21RG 10 Compulsory acquisitions and buyouts
2013-03-27RG 247 Effective disclosure in an operating and financial review
2013-01-24RG 243 Registration of self-managed superannuation fund auditors
2012-12-13RG 244 Giving information, general advice and scaled advice
2012-12-10RG 79 Research report providers: Improving the quality of investment research
2012-09-28RG 180 Auditor registration
2012-09-26RG 146 Licensing: Training of financial product advisers
2012-06-29RG 54 Principles for cross-border financial regulation
2012-06-18RG 91 Horse breeding schemes and horse racing syndicates
2012-06-05RG 73 Continuous disclosure obligations: Infringement notices
2012-05-11RG 213 Facilitating debt raising (withdrawn)
2012-02-16RG 233 Indirect self-acquisition: Relief for investment funds
2012-02-08RG 156 Advertising of debentures and notes to retail investors
2012-02-08RG 69 Debentures and notes: Improving disclosure for retail investors
2011-12-21RG 74 Acquisitions approved by members
2011-12-09RG 230 Disclosing non-IFRS financial information
2011-09-22RG 60 Schemes of arrangement