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Regulatory documents

Regulatory documents explain our approach in specific areas we regulate:

These documents seek feedback from stakeholders on matters ASIC is considering, such as proposed relief or proposed regulatory guidance.

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
  • 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).

These documents describe ASIC compliance or relief activity or the results of a research project.
These documents provide concise guidance on a specific process or compliance issue or an overview of detailed guidance.


We are publishing monthly Regulatory document update tables, from August 2013, of updates to all regulatory documents, including updates not notified in media releases.

See also Market Integrity Rules

Have a topic in mind? Try our index (road map)



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