ASIC Regulatory Guides

Australian Securities & Investments Commission

From 5 July 2007, ASIC have released Regulatory Guides, which have replaced other documents that have previously been issued as Policy Statements, Practice Notes or Guides. These documents may be referred to as Regulatory Guide 26 (RG 26) or their previous number, for example Policy Statement 26 (PS 26).

These documents give guidance to regulated entities by:

  • explaining when and how ASIC will exercise specific powers under legislation (primarily the Corporations Act)
  • explaining how ASIC interprets the law
  • describing the principles underlying ASIC's approach, and/or
  • giving practical guidance (for example, describing the steps of a process such as applying for a licence, or giving practical examples of how regulated entities may decide to meet their obligations).

Use this comparative table to find the previous number for a particular Regulatory Guide, where applicable.

RG 1–20 RG 21–40 RG 41–60
RG 61–80 RG 81–100 RG 101–120
RG 121–140 RG 141–160 RG 161–180
RG 181–200 RG 201–

 


 

Reg no.

Title

Previous no.

RG 1

AFS Licensing Kit: Part 1 - Applying for and varying an AFS licence

GD 1

RG 2

AFS Licensing Kit: Part 2 - Preparing your AFS licence application

GD 2

RG 3

AFS Licensing Kit: Part 3 - Preparing your additional proofs

GD 3

RG 4

Intervention

PS 4

RG 5

Relevant interests in unissued share capital

PN 5

RG 6

Variation of takeover offers

PN 4

RG 7

Calculating time periods

PN 19

RG 9

Relevant interests in shares

PN 25

RG 10

Classes of shares

PN 32

RG 11

Disclosure of offerors' intentions in takeover documents

PN 35

RG 12

Superseded (see RG 111 and RG 112)

PN 43

RG 13

ACN, ARBN and company names

PN 47

RG 14

Receivers - retention of company records

PN 14

RG 15

Enforcement action - no undertakings

PN 49

RG 16

External administrators: Reporting and lodging

PN 50

RG 17

Fees for subpoenas

PN 51

RG 18

Serving legal documents on the ASC

PN 52

RG 19

Film investment schemes

PS 19

RG 20

Disclosure of convictions and proceedings

PN 20


RG 21 - RG 40

RG 21

How ASIC charges fees for relief applications

PN 58

RG 22

Directors' statement as to solvency

PN 22

RG 23

Updating and correcting prospectuses and application forms

PN 60

RG 24

Disclosure of directors' interests - unissued sha

PN 24

RG 25

Takeovers: False and misleading statements

PS 25

RG 26

Resignation of auditors

PS 26

RG 27

Takeovers: minimum acceptance conditions

PN 27

RG 28

Relief from dual lodgment of financial reports

PN 61

RG 29

Financial reporting by Australian entities in dual-listed company arrangements

PN 71

RG 30

Paperless issues under a global debenture

PS 30

RG 31

Acquisitions and disposals by a broker acting as principal

PS 31

RG 32

Trustee companies common funds

PS 32

RG 33

Security deposits

PS 33

RG 34

Auditors' obligations: reporting to ASIC

PN 34

RG 35

Collateral benefits in takeovers

PS 35

RG 36

Licensing: Financial product advice and dealing

GD 60

RG 37

Takeovers - financing arrangements

PN 37

RG 38

The hawking prohibitions

GD 90

RG 39

Licensed investment advisers - security deposits

PS 39

RG 40

Good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)

GD 95


RG 41

Limited partnerships fundraising

PS 41

RG 42

Superseded (see RG 111 and RG 112)

PN 42

RG 43

Financial reports and audit relief

PS 43

RG 44

Annual general meeting - extension of time

PS 44

RG 45

Mortgage schemes - improving disclosure for retail investors

RG 46

Unlisted property schemes - improving disclosure for retail investors

RG 47

Public comment

PS 47

RG 48

Takeovers aspects of options over shares

PN 48

RG 49

Employee share schemes

PS 49

RG 50

Omission of "Limited" from company names

PS 50

RG 51

Applications for relief

PS 51

RG 52

Enforcement action submissions

PS 52

RG 53

The use of past performance in promotional material

GD 120

RG 54

Principles for cross border financial services regulation

PN 54

RG 55

Disclosure documents and PDS: consent to quote

PN 55

RG 56

Prospectuses

PS 56

RG 57

Notification of rights of review

PN 57

RG 58

Reporting requirements - registered foreign companies and Australian companies with foreign company shareholders

PS 58

RG 59

Announcing and withdrawing takeover bids (s653 and s746)

PN 59

RG 60

Schemes of arrangement - s411(17)

PS 60


RG 61 Underwriting - application of exemptions PS 61
RG 63 Access to debenture and prescribed interest registers PS 63
RG 64 Failure to lodge documents PS 64
RG 65 Section 1013DA disclosure guidelines GD 140
RG 66 Transaction-specific disclosure PN 66
RG 67 Real estate companies PS 67
RG 68 New financial reporting and procedural requirements PN 68
RG 69 Debentures - improving disclosure for retail investors
RG 70 Prospectuses for cash box and investment companies PN 70
RG 71 Downstream acquisitions PS 71
RG 72 Foreign securities prospectus relief PS 72
RG 73 Continuous disclosure obligations: Infringement notices GD 170
RG 74 Acquisitions agreed to by shareholders PS 74
RG 75 Superseded (see RG 111 and RG 112) PS 75
RG 76 Related party transactions PS 76
RG 77 Property trusts and property syndicates PS 77
RG 78 Breach reporting by AFS licensees GD 190
RG 79 Managing conflicts of interest: An ASIC guide for research report providers GD 200
RG 80 Managed investment schemes - interests not for money PS 80

RG 81

Destruction of books

PS 81

RG 82

External administration: Deeds of company arrangement involving a creditor's trust

GD 220

RG 83

Reinstatement of companies

PS 83

RG 84

Super switching advice: Questions and answers

GD 230

RG 85

Reporting requirements for non-reporting entities

GD 240

RG 86

Tracing beneficial ownership

PS 86

RG 87

Charities

PS 87

RG 88

Trustee and nominee companies

PS 88

RG 89

Disclosing pro forma financial information 
(copy not yet available)

GD 250

RG 90

Example Statement of Advice for a limited financial advice scenario for a new client

GD 260

RG 91

Horse racing and breeding schemes

PS 91

RG 92

Procedural fairness to third parties

PS 92

RG 93

Reimbursing liquidation costs

PS 93

RG 94

Unit pricing: Guide to good practice (joint publication with APRA)

GD 270

RG 95

Disclosing entity provisions relief

PS 95

RG 96

Debt collection guideline for collectors and creditors (joint publication with ACCC)

PS 96

RG 97

Enhanced fee disclosure regulations: Questions and answers

GD 280

RG 98

Licensing: Administrative action against financial services providers

GD 290

RG 99

Quotation of securities offered by prospectus (s1031)

PS 99

RG 100

Enforceable undertakings

GD 300


RG 101

On-market buy-backs by ASX-listed schemes

PS 101

RG 102

Tender offers by vendor shareholders

PS 102

RG 103

Confidentiality and release of information

PS 103

RG 104

Licensing: Meeting the general obligations

RG 105

Licensing: Organisational competence

RG 106

Controller duties and bank accounts

PS 106

RG 107

Electronic prospectuses

PS 107

RG 108

No-action letters

PS 108

RG 109

Assetless administration fund: Funding criteria and guidelines

RG 110

Share buy-backs

PS 110

RG 111

Content of expert reports

RG 112

Independence of experts

RG 115

Audit relief for proprietary companies

PS 115


RG 121

Doing financial services business in Australia

RG 125

Small offers of shares to existing shareholders by listed companies - share purchase plans

PS 125

RG 126

Compensation and insurance arrangements for AFS licensees

RG 127

Additional investments in managed investment schemes

PS 127

RG 128

Collective action by institutional investors

PS 128

RG 129

Business introduction or matching services

PS 129

RG 132

Managed investments: Compliance plans

PS 132

RG 133

Managed investments: Scheme property arrangements

PS 133

RG 134

Managed investments: Constitutions

PS 134

RG 135

Managed investments: Transitional issues

PS 135

RG 136

Managed investments: Discretionary powers and closely related schemes

PS 136

RG 139

Approval of external complaints resolution schemes

PS 139

RG 140

Serviced strata schemes

PS 140


RG 141

Offers of securities on the internet

PS 141

RG 142

Schemes of arrangement and ASIC review

PS 142

RG 143

Takeovers provisions: Warrants

PS 143

RG 144

Mortgage investment schemes

PS 144

RG 145

Collateral benefits - Takeovers funding and pre-bid purchases

PS 145

RG 146

Licensing: Training of financial product advisers

PS 146

RG 147

Mutuality - Financial institutions

PS 147

RG 148

Investor directed portfolio services

PS 148

RG 149

Nominee and custody services

PS 149

RG 150

Electronic applications and dealer personalised applications

PS 150

RG 151

Fundraising: Discretionary powers

PS 151

RG 152

Lodgment of disclosure documents

PS 152

RG 154

Certificate by a qualified accountant

PS 154

RG 155

Debenture prospectuses

PS 155

RG 156

Debenture advertising

RG 157

Financial reports for offer information statements

PS 157

RG 158

Advertising and publicity for offers of securities

PS 158

RG 159

Takeovers, compulsory acquisitions and substantial holdings

PS 159

RG 160

Time-sharing schemes

PS 160


RG 161

Share and interest sale facilities

RG 162

Internet discussion sites

PS162

RG 163

Takeovers: Minimum bid price principle: s621

PS 163

RG 164

Superseded (see RG 104 and RG 105)

PS 164

RG 165

Licensing: Internal and external dispute resolution

PS 165

RG 166

Licensing: Financial requirements

PS 166

RG 167

Licensing: Discretionary powers

PS 167

RG 168

Disclosure: Product Disclosure Statements (and other disclosure obligations)

PS 168

RG 169

Disclosure: Discretionary powers

PS 169

RG 170

Prospective financial information

PS 170

RG 171

Anomalies and issues in the takeover provisions

PS 171

RG 172

Australian market licences: Australian operators

PS 172

RG 173

Disclosure for on-sale of securities and other financial products

PS 173

RG 174

Externally administered companies: Financial reporting and AGMs

PS 174

RG 175

Licensing: Financial product advisers - conduct and disclosure

PS 175

RG 176

Licensing: Discretionary powers - wholesale foreign financial services providers

PS 176

RG 177

Australian market licences: Overseas operators

PS 177

RG 178

Foreign collective investment schemes

PS 178

RG 179

Managed discretionary account services

PS 179

RG 180

Auditor registration

PS 180


RG 181

Licensing: Managing conflicts of interest

PS 181

RG 182

Dollar disclosure

PS 182

RG 183

Approval of financial services sector codes of conduct

PS 183

RG 184

Superannuation: Delivery of product disclosure for investment strategies

PS 184

RG 185

Non-cash payment facilities

PS 185

RG 186

External administration: liquidator registration

PS 186

RG 187

Auditor rotation

PS 187

RG 188

Disclosure in reconstructions

PS 188

RG 189

Disclosure relief for rights issues

RG 190

Offering securities in New Zealand and Australia under mutual recognition

RG 191

Superseded

RG 192

Licensing: wholesale equity venture capital schemes

RG 193

Notification of directors' interests in securities - listed companies

RG 194

Insurance requirements for registered liquidators

RG 195

Group purchasing bodies for insurance and risk products

RG 196

Short selling: Overview of s1020B

RG 197

Warrants: Out-of-use notices xxx

RG 198

Unlisted disclosing entities: Continuous disclosure obligations

RG 199 Broadening the rights issue and dividend reinvestment plan exceptions for takeovers
RG 200 Advice to super fund members

NB: This Regulatory Guide is under review by ASIC as a result of the Federal Court's decision in Westpac Banking Corporation v Australian Securities and Investments Commission [2009] FCA 1506. ASIC will not be appealing the decision. IN the interim, guidance may be gained from the judgement.


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

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