Road map - financial services

Financial products

Credit

Deposit products
RG 40 ASIC’s guide to good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
CO 05/681 Transitional relief for deposit product providers - PDSs and periodic statements
CO 03/1048 Mortgage offset accounts

Derivatives
CO 06/682 Multiple derivative issuers

General insurance
CO 05/1070 General insurance distributors
CO 02/1145 Declaration regarding overseas student health insurance
CO 07/409 General insurance disclosure: extension of transitional period
REP 7 Consumer understanding of flood insurance
REP 89 Getting home insurance right: a report on home building underinsurance
REP 54 Making home insurance better

Life products
RG 195 Group purchasing bodies for insurance and risk products
CO 08/1 Group purchasing bodies
REP 10 Final report of the national life insurance disability campaign

Managed investment schemes and securities

See also Managed investment schemes
RG 161 Share and interest sale facilities
CO 08/10 Share and interest sale facilities

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Non-cash payment facilities
RG 185 Non-cash payment facilities
CO 03/705 Non-cash payment facilities - licensing relief
CO 05/736 Low value non-cash payment facilities
CO 05/737 Loyalty schemes
CO 05/738 Gift facilities
CO 05/739 Road toll facilities
CO 05/740 Prepaid mobile facilities
REP 4 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1998 to March 1999)
REP 11 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1999 to March 2000)
REP 13 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2000 to March 2001)
REP 20 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2001 to March 2002)
REP 27 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2002 to March 2003)
REP 63 Compliance with the EFT Code of Conduct (April 2003 to March 2004)

Schemes of arrangement
CO 07/9 Prospectus relief for foreign schemes of arrangement and PDS relief for Pt 5.1 schemes and foreign schemes of arrangement

Securities
RG 95 Disclosing entity provisions relief
RG 141 Offers of securities on the Internet
RG 158 Advertising and publicity for offers of securities
REP 9 Online trading survey report

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Superannuation and retirement savings accounts
RG 84 Super switching advice: Questions and answers
RG 97 Enhanced fee disclosure regulations: Questions and answers
RG 184 Superannuation: Delivery of product disclosure for investment strategies
CO 03/1097 Deferral of s1012IA
CO 05/1254 Transitional relief for certain superannuation periodic statements
CO 06/538 Relief from enhanced disclosures in exit statements
CO 06/602 Transitional periodic statement relief for legacy superannuation products under s1020F(1)(c)
CO 06/636 Superannuation: Delivery of product disclosure for investment strategies
CO 07/337 Enhanced fee disclosure exemption – defined benefit superannuation pension products
CO 09/210 Intra-fund superannuation advice
CO 09/437 Departed former temporary residents' superannuation - disclosure relief
REP 50 Superannuation switching surveillance: An ASIC report
REP 31 Consumer decision making at retirement
REP 28 Eligible rollover fund disclosure campaign
REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance
REP 66 Monitoring advertising in superannuation
REP 69 Shadow shopping survey on superannuation advice
REP 84 Monitoring superannuation fees and costs (October 2005 to June 2006)
INFO 89 What can I tell my employees about making a choice of superannuation fund?

Travellers' cheques
CO 02/1075 Travellers' cheques and confirmation of transactions

Warrants
RG 143 Takeovers provisions: Warrants
RG 197 Warrants: out of use notices
CO 02/608 Warrants: relief from PDS requirements for secondary sales
CO 05/682 Dollar disclosure: Relief for warrant issuers
CO 08/781 Warrants: out of use notices

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Types of financial service

RG 36 Licensing: Financial product advice and dealing

Giving advice (general and personal advice)

See also general advice warning and statement of advice
RG 84 Super switching advice: Questions and answers
RG 79 Managing conflicts of interest: An ASIC guide for research report providers
RG 90 Example Statement of Advice for a limited financial advice scenario for a new client
CO 03/606 Financial product advice - exempt documents
CO 03/911 Licensing relief for self-dealers who provide general product advice about own securities
CO 05/835 General advice in advertising
CO 05/1195Simplified warning for oral general advice
CO 05/1243 Licensing relief for valuers providing valuations of shares in real estate companies
CO 09/210 Intra-fund superannuation advice
REP 5 Review of the financial advising activities of real estate agents (interim report)
REP 6 Review of the financial advising activities of real estate agents (technical paper)
REP 17 Compliance with advice and disclosure obligations: Report on primary production schemes
REP 18 Superannuation switching surveillance: An ASIC report
REP 50 Superannuation switching surveillance: An ASIC report
REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance

Dealing
RG 36 Licensing: Financial product advice and dealing

Operating a scheme

See Managed investment schemes

Custodial and depositary services

See Financial service providers: custodians

Making a market

See also Financial markets
RG 172 Australian market licences: Australian operators
RG 177 Australian market licences: Overseas operators
CO 03/578 Financial Services Guide exemption for market making services on a licensed market

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Client status

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Wholesale clients
RG 176 Licensing: Discretionary powers - wholesale foreign financial services providers
RG 192 Licensing: Wholesale equity venture capital schemes
CO 03/824 Licensing relief for financial service providers with limited connection to Australia dealing with wholesale clients
CO 03/825 Licensing relief for the provision of ongoing services in relation to a product acquired when the client was outside the jurisdiction
CO 03/826 Market related records: Australian financial services licensees dealing on overseas markets
CO 03/911 Licensing relief for self-dealers who provide general product advice about own securities
CO 04/150 Wholly-owned subsidiaries of professional investors to be treated as wholesale clients
CO 07/74 Wholesale equity schemes: licensing relief for trustees

Retail clients
RG 179 Managed discretionary account services

Client property
CO 03/1110 Prime brokerage services: relief from obligation to hold client property on trust
CO 03/1111 Prime brokerage services: relief from obligation to hold scheme property separately
CO 03/1112 Relief from obligation to hold client money on trust
CO 04/1063 Section 981B money in cash common funds

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Getting a financial services licence

RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)
RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)
RG 3 Preparing your additional proofs (AFS Licensing Kit: Part 3)

Do you need a licence?

See also licensing relief
RG 36 Licensing: Financial product advice and dealing
RG 49 Employee share schemes
RG 67 Real estate companies
RG 80 Managed investment schemes – interests not for money
RG 87 Charitable Investment schemes and school enrolment deposits
RG 129 Business introduction or matching services
RG 160 Time-sharing schemes
RG 148 Investor directed portfolio services
RG 162 Internet discussion sites
RG 167 Licensing: Discretionary powers
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers

Applying for a licence
RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)
RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)
RG 3 Preparing your additional proofs (AFS Licensing Kit: Part 3)

Varying a licence
RG 1 Applying for and varying an AFS licence (AFS Licensing Kit: Part 1)

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Ongoing licensee obligations

RG 36 Licensing: Financial product advice and dealing
RG 104 Licensing: Meeting your general obligations
RG 105 Licensing: Organisational competence
RG 146 Licensing: Training of financial product advisers
RG 165 Internal and external dispute resolution
REP 37 ASIC verification visit program: key findings

Authorised representatives
RG 104 Licensing: Meeting your general obligations
RG 146 Licensing: Training of financial product advisers
RG 175 Licensing: Financial product advisers - Conduct and disclosure
INFO 88 Notifying ASIC of the appointment of authorised representatives
INFO 91 Who can be the authorised representative of a licensee?

Breach reporting
RG 78 Breach reporting for AFS licensees: An ASIC guide

Client accounts
RG 104 Licensing: Meeting your general obligations
RG 179 Managed discretionary account services

Compensation arrangements
RG 126 Compensation and insurance arrangements for AFS licensees
RG 166 Licensing: Financial requirements
RG 172 Australian market licences: Australian operators
RG 177 Australian market licences: Overseas operators
CO 06/495 Extension of transitional compensation arrangements

Dispute resolution
RG 139 Approval of external complaints resolution schemes
RG 165 Licensing: Internal and external dispute resolution

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Financial reporting and audit

See also Financial reporting and auditors
RG 34 Auditors’ obligations: reporting to ASIC
CO 03/748 Reporting requirements under s989B
CO 03/823 Relief from licensing, accounting and audit requirements for foreign authorised deposit-taking institutions
CO 05/21 Clarification of requirement for the appointment of auditors by financial services licensees
CO 03/826 Market related records: Australian financial services licensees dealing on overseas markets
CO 06/68 Conditional relief for foreign licensees from financial reporting and record keeping obligations

Financial requirements
RG 166 Licensing: Financial requirements

Financial services guide

Managing conflicts of interest
RG 79 Managing conflicts of interest: An ASIC guide for research report providers
RG 181 Licensing: Managing conflicts of interest
RG 172 Australian market licences: Australian operators
RG 177 Australian market licences: Overseas operators

Organisational competence
RG 105 Licensing: Organisational competence

Adviser training
RG 104 Licensing: Meeting your general obligations
RG 146 Licensing: Training of financial product advisers
CO 09/339 Internal dispute resolution procedures
CO 09/340 External dispute resolution procedures

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Financial services disclosure

RG 175 Licensing: Financial product advisers - Conduct and disclosure
REP 29 Preferential remuneration project
REP 30 Disclosure of soft dollar benefits: An ASIC research report
REP 42 Insurance broker remuneration arrangements

Dollar disclosure

Financial services guide
RG 179 Managed discretionary account services
CO 02/1074 Financial Services Guide - dealing in underlying investments by superannuation trustees
CO 03/578 Financial Services Guide exemption for market making services on a licensed market
CO 04/1055 Information in a Financial Services Guide given in a time critical situation
CO 04/1571 Secondary services: General financial services guide relief
CO 04/1572 Secondary services: Financial Services Guide relief for experts
CO 04/1573 Secondary services: Financial Services Guide relief for arrangers acting under an intermediary authorisation
CO 05/27 Financial services guides - tailoring relief
CO 06/495 Extension of transitional compensation arrrangements

Statements of advice
RG 90 Example Statement of Advice for a limited financial advice scenario for a new client
CO 04/10 Statement of Advice relief for certain products able to be traded on an approved foreign market
CO 04/1556 Statements of additional advice
CO 07/447 Temporary extension of time for SOA delivery

General advice warning
CO 05/1195 Simplified warning for oral general advice
REP 5 Review of the financial advising activities of real estate agents (interim report)
REP 6 Review of the financial advising activities of real estate agents (technical paper)

Secondary services
CO 04/1571 Secondary services: General financial services guide relief
CO 04/1572 Secondary services: Financial Services Guide relief for experts
CO 04/1573 Secondary services: Financial Services Guide relief for arrangers acting under an intermediary authorisation

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Product disclosure

RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)

Annual reports
CO 02/1071 Clarification of Corporations Regulation 10.2.74

Application forms
CO 02/260 Product Disclosure Statements - application forms created by a licensee
CO 04/1574 Application form and cooling-off relief for certain transfers of members between financial products and interests within a superannuation fund

Confirmation of transactions
CO 02/1075 Travellers' cheques and confirmation of transactions

Cooling off
RG 66 Time-sharing schemes
CO 04/1574 Application form and cooling-off relief for certain transfers of members between financial products and interests within a superannuation fund

Dispute resolution
RG 139 Approval of external complaints resolution schemes
RG 165 Internal and external dispute resolution
CO 09/339 Internal dispute resolution procedures
CO 09/340 External dispute resolution procedures

Dollar disclosure
RG 182 Dollar disclosure
REP 30 Disclosure of soft dollar benefits: An ASIC research report
RG 182 Dollar disclosure
CO 04/1430 Unknown facts or circumstances
CO 04/1431 Costs of derivatives, foreign exchange contracts, general insurance products and life risk insurance products
CO 04/1432 Interest payable on deposit products
CO 04/1433 Non-monetary benefits and interests
CO 04/1434 Transitional relief
CO 04/1435 Amounts denominated in a foreign currency
CO 05/682 Relief for warrant issuers
CO 05/683 Dollar disclosure: Further transitional relief

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Environmental, social and ethical factors
RG 65 Section 1013DA disclosure guidelines
RG 175 Licensing: Financial product advisers - Conduct and disclosure

Fees and remuneration
RG 40 ASIC’s guide to good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
RG 97 Enhanced fee disclosure regulations: Questions and answers
RG 175 Licensing: Financial product advisers - Conduct and disclosure
RG 181 Licensing: Managing conflicts of interest
RG 182 Dollar disclosure
CO 07/337 Enhanced fee disclosure exemption – defined benefit superannuation pension products
REP 8 Inquiry into fees on electronic and telephone banking
REP 16 Disclosure of fees and charges in managed investments, review of current Australian requirements and options for reform (Ramsay report)
REP 23 A model for fee disclosure in product disclosure statements for investments products—An ASIC report
REP 29 Preferential remuneration project
REP 30 Disclosure of soft dollar benefits: An ASIC research report
REP 42 Insurance broker remuneration arrangements
REP 53 Good transaction fee disclosure

Market announcements
CO 02/138 Announcements to financial markets by holding companies about financial products (other than securities) issued by subsidiaries

Multi-issuer
CO 03/876 Multi-issuer product disclosure statements
CO 03/1092 Further relief for joint product disclosure statements
CO 06/682 Multiple derivative issuers

Periodic statements
RG 97 Enhanced fee disclosure regulations: Questions and answers
CO 03/485 Periodic statements under s1017D
CO 06/602 Transitional periodic statement relief for legacy superannuation products
CO 05/681 Transitional relief for deposit product providers - PDSs and periodic statements

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Product disclosure statements
RG 55 Disclosure documents and PDS: consent to quote
RG 97 Enhanced fee disclosure regulations: Questions and answers
RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)
RG 179 Managed discretionary account services
RG 184 Superannuation: Delivery of product disclosure for investment strategies
CO 02/141 Experts: citing in Product Disclosure Statements
CO 02/286 Obligation to provide Product Disclosure Statement: section 1012B(4)
CO 03/237 Updated information in product disclosure statements
CO 03/1092 Further relief for joint product disclosure statements
CO 05/681 Transitional relief for deposit product providers - PDSs and periodic statements
CO 06/636 Superannuation: Delivery of product disclosure for investment strategies
CO 07/9 Prospectus relief for foreign schemes of arrangement and PDS relief for Pt 5.1 schemes and foreign schemes of arrangement
CO 07/337 Enhanced fee disclosure exemption – defined benefit superannuation pension products
CO 09/68 Prospectus and PDS relief for foreign scrip takeovers
REP 23 A model for fee disclosure in product disclosure statements for investments products - an ASIC report
INFO 94 Notification requirements for Product Disclosure Statements

On-sales
CO 02/608 Warrants: relief from PDS requirements for secondary sales
CO 02/1180 Disclosure for on-sale of securities and other financial products
CO 04/653 On-sale disclosure relief for scrip bids
CO 04/671 Disclosure for on-sale of securities and other financial products
CO 04/672 Extension of on-sales exemptions

Significant events reporting
RG 184 Superannuation: Delivery of product disclosure for investment strategies

Stop orders
RG 152 Lodgment of disclosure documents
RG 168 Disclosure: Product disclosure statements (and other disclosure obligations)

Unsolicited offers
RG 161 Share and interest sale facilities
CO 08/10 Share and interest sale facilities

Warrants
CO 02/608 Warrants: relief from PDS requirements for secondary sales
CO 03/876 Multi-issuer product disclosure statements
CO 03/957 ASX managed investment warrants — disclosure and reporting exemptions
CO 04/1431 Costs of derivatives, foreign exchange contracts, general insurance products and life risk insurance products

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Hawking and advertising

See also Fundraising: hawking and advertising

Hawking
RG 38 The hawking prohibitions: An ASIC guide
CO 02/641 Hawking - securities and managed investments
CO 04/239 Factoring arrangements - licensing, hawking and disclosure relief

Advertising
RG 53 The use of past performance in promotional material
RG 129 Business introduction or matching services
RG 141 Offers of securities on the Internet
CO 02/143 Financial product market research
CO 02/144 Financial products issued by a foreign issuer: incidental circulation of published material
CO 02/150 Foreign financial products: publishing of reports and notices
CO 04/239 Factoring arrangements - licensing, hawking and disclosure relief
CO 05/835 General advice in advertising

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Ceasing to be a licensee or authorised representative

Banning and disqualification
RG 98 Licensing: Administrative action against financial services providers

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Consumer protection, including ASIC Act

Consumer education and protection
REP 3 Stocktake of consumer education in financial services
REP 7 Consumer understanding of flood insurance
REP 12 Book up: some consumer problems
REP 14 International cold calling investment scams
REP 15 Hook, line and sinker: who takes the bait in cold calling scams?
REP 31 Consumer decision making at retirement
REP 89 Making home insurance better
REP 54 Getting home insurance right: a report on home building underinsurance
REP 152 Helping home borrowers in financial hardship

Credit

Debt collection
RG 96 Debt collection guideline: for collectors and creditors (joint publication with ACCC)
REP 55 Collecting statute-barred debts
REP 155 Debt collection practices in Australia: summary of stakeholder consultation

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Credit

See also Compliance with payments system codes of practice and EFT code of conduct
REP 4 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1998 to March 1999)
REP 11 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1999 to March 2000)
REP 13 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2000 to March 2001)
REP 20 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2001 to March 2002)
REP 27 Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2002 to March 2003)
REP 63 Compliance with the EFT Code of Conduct (April 2003 to March 2004)

Equity release products
REP 59 Equity release products report

Mortgage brokers
REP 19 Report into mortgage brokers
REP 152 Helping home borrowers in financial hardship

Debt collection

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Financial service providers

Accountants and actuaries
RG 154 Certificate by a qualified accountant
RG 170 Prospective financial information
CO 03/1096 Actuaries

Authorised deposit-taking institutions

See also Compliance with payments system codes of practice and EFT code of conduct
RG 40ASIC’s guide to good transaction fee disclosure for bank, building society and credit union deposit and payments products (transaction accounts)
RG 146Licensing: Training of financial product advisers
RG 147Mutuality – Financial Institutions
RG 166Licensing: Financial requirements
CO 03/823Relief from licensing, accounting and audit requirements for foreign authorised deposit-taking institutions
CO 04/909Agency banking
REP 8Inquiry into fees on electronic and telephone banking
REP 53Good transaction fee disclosure
REP 4Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1998 to March 1999)
REP 11Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 1999 to March 2000)
REP 13Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2000 to March 2001)
REP 20Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2001 to March 2002)
REP 27Compliance with the Payments System Codes of Practice and the EFT Code of Conduct (April 2002 to March 2003)
REP 63Compliance with the EFT Code of Conduct (April 2003 to March 2004)

Custodians
RG 133 Managed Investments: Scheme property arrangements
RG 149 Nominee and custody services

Derivative dealers and futures brokers
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits

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Factoring
CO 04/239 Factoring arrangements - licensing, hawking and disclosure relief

Financial advisers/planners
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 39 Licensed investment advisors – security deposits
RG 84 Super switching advice: Questions and answers
RG 90 Example Statement of Advice for a limited financial advice scenario for a new client
RG 94 Unit pricing: guide to good practice
RG 104 Licensing: Meeting your general obligations
RG 146 Licensing: Training of financial product advisers
RG 175 Licensing: Financial product advisers – conduct and disclosure
RG 179 Managed discretionary account services
RG 182 Dollar disclosure
REP 18 Survey on the quality of financial planning advice—ASIC research report
REP 29 Preferential remuneration project
REP 30 Disclosure of soft dollar benefits: An ASIC research report
REP 50 Superannuation switching surveillance: An ASIC report
REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance

CO 03/1063 Financial counselling agencies

Foreign exchange dealers
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 166 Licensing : Financial requirements

Foreign financial service providers
RG 54 Principles for cross border financial services regulation
RG 121 Doing financial services business in Australia
RG 176 Licensing: Discretionary powers – wholesale foreign financial service providers
RG 178 Foreign collective investment schemes
CO 02/144 Financial products issued by a foreign issuer: incidental circulation of published material
CO 02/150 Foreign financial products: publishing of reports and notices
CO 02/803 Overseas futures brokers and securities dealers: exemption from requirement to hold an AFS licence
CO 03/823 Relief from licensing, accounting and audit requirements for foreign authorised deposit-taking institutions
CO 03/824 Licensing relief for financial service providers with limited connection to Australia dealing with wholesale clients
CO 03/1099 UK FSA regulated financial service providers
CO 03/1100 US SEC regulated financial service providers
CO 03/1101 US Federal Reserve and OCC regulated financial service providers
CO 03/1102 Singapore MAS regulated financial service providers
CO 03/1103 Hong Kong SFC regulated financial service providers
CO 04/829 US CFTC regulated financial services providers
CO 04/1313 Germany BaFin regulated financial service providers
CO 04/1570 Licensing relief for some overseas dealers or market makers in derivatives and foreign exchange contracts
CO 06/68 Conditional relief for foreign licensees from financial reporting and record keeping obligations
REP 134 Enhancing capital flows into and out of Australia

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General insurers
CO 04/1431 Costs of derivatives, foreign exchange contracts, general insurance products and life risk insurance products
CO 05/683 Dollar disclosure: Further transitional relief
CO 05/1070 General insurance distributors
CO 06/623 Relief for certain general insurers from s981B account requirements

IDPS and IDPS-like schemes

Insurance brokers and distributors
REP 42 Insurance broker remuneration arrangements

Internet discussion sites
RG 162 Internet discussion sites

Life insurance
RG 94 Unit pricing: guide to good practice
RG 97 Enhanced fee disclosure regulations: Questions and answers
RG 139 Approval of external complaints resolution schemes
REP 10 Final report of the national life insurance disability campaign

Law societies
RG 144 Mortgage investment schemes
CO 03/1094 Law societies - professional indemnity scheme and fidelity funds
CO 03/1095 Law societies - statutory deposit accounts and public purpose funds

Market operators
RG 172 Australian market licences: Australian operators
RG 177 Australian market licences: Overseas operators
CO 03/578 Financial Services Guide exemption for market making services on a licensed market
CO 04/1570 Licensing relief for some overseas dealers or market makers in derivatives and foreign exchange contracts

Mortgage broker
REP 19 Report into mortgage brokers

Prime brokerage services
CO 03/1110 Prime brokerage services: relief from obligation to hold client property on trust
CO 03/1111 Prime brokerage services: relief from obligation to hold scheme property separately

Ratings agencies
RG 55 Disclosure documents and PDS: consent to quote
CO 03/1093 & CO 05/1230 Credit rating agencies
REP 143 Review of credit rating agencies and research houses

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Research report providers
RG 79 Managing conflicts of interest: An ASIC guide for research report providers

Scheme operators

See Managed investment schemes

Securities dealers
RG 5 Relevant interests in unissued share capital
RG 20 Disclosure of convictions and proceedings
RG 33 Security deposits
RG 148 Investor directed portfolio services
RG 150 Electronic applications and dealer personalised applications
REP 9 Online trading survey report
REP 21 Report on the review of 2001 and 2002 annual financial reports of South Australian securities dealers

Self-dealers
CO 03/911 Licensing relief for self-dealers who provide general product advice about own securities

Stockbrokers
RG 5 Relevant interests in unissued share capital
RG 31 Acquisitions and disposals by a broker acting as principal

Superannuation trustees and administrators
RG 84 Super switching advice: Questions and answers
RG 94 Unit pricing: guide to good practice
RG 184 Superannuation: Delivery of product disclosure for investment strategies
CO 02/1074 Financial Services Guide - dealing in underlying investments by superannuation trustees
CO 02/1161 Limited relief from requirement for dealing authorisation for public offer superannuation entities
CO 03/1097 Deferral of s1012IA
CO 04/1030 In-use notices for employer-sponsored superannuation
CO 04/1574 Application form and cooling-off relief for certain transfers of members between financial products and interests within a superannuation fund
CO 05/1254 Transitional relief for certain superannuation periodic statements
CO 06/538 Relief from enhanced disclosures in exit statements
CO 06/602 Transitional periodic statement relief for legacy superannuation products under s1020F(1)(c)
CO 09/210 Intra-fund superannuation advice
CO 09/437 Departed former temporary residents' superannuation - disclosure relief
INFO 90 As a superannuation trustee, do I need to notify members about member transfers without consent?

Trustees
RG 88 Trustee & Nominee companies
CO 07/74 Wholesale equity schemes: licensing relief for trustees

Valuers
CO 00/213 Real estate companies
CO 05/1243 Licensing relief for valuers providing valuations of shares in real estate companies

Wholesale providers
RG 176 Licensing: Discretionary powers — wholesale foreign financial services providers
CO 03/824 Licensing relief for financial service providers with limited connection to Australia dealing with wholesale clients
CO 03/1099 UK FSA regulated financial service providers
CO 03/1100 US SEC regulated financial service providers
CO 03/1101 US Federal Reserve and OCC regulated financial service providers
CO 03/1102 Singapore MAS regulated financial service providers
CO 03/1103 Hong Kong SFC regulated financial service providers
CO 04/829 US CFTC regulated financial services providers
CO 04/1313 Germany BaFin regulated financial service providers

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Class order relief

Applying for relief

See also Dealing with ASIC: applying for relief
RG 21 How ASIC charges fees for relief applications

Licensing relief

See also getting a licence
RG 21 Licensing: Discretionary powers
RG 192 Wholesale equity schemes: licensing relief for trustees
RG 195 Group purchasing bodies for insurance and risk products
CO 02/803 Overseas futures brokers and securities dealers: exemption from requirement to hold an AFS licence
CO 02/930 Interim licensing relief for operators of pooled development funds
CO 02/1161 Limited relief from requirement for dealing authorisation for public offer superannuation entities
CO 03/244 Licensing relief for financial services offered because of Regulation 7.1.33C(1)
CO 03/606 Financial product advice - exempt documents
CO 03/653 Pooled development funds: Licensing exemptions for dealing in, and general advice on, own securities
CO 03/705 Non-cash payment facilities - licensing relief
CO 03/824 Licensing relief for financial service providers with limited connection to Australia dealing with wholesale clients
CO 03/911 Licensing relief for self-dealers who provide general product advice about own securities
CO 03/1048 Mortgage offset accounts
CO 03/1063 Licensing relief for financial counselling agencies
CO 03/1094 Law societies - professional indemnity scheme and fidelity funds
CO 03/1095 Law societies - statutory deposit accounts and public purpose funds
CO 03/1096 Actuaries
CO 04/239 Factoring arrangements - licensing, hawking and disclosure relief
CO 04/909 Agency banking
CO 04/1570 Licensing relief for some overseas dealers or market makers in derivatives and foreign exchange contracts
CO 05/736 Low value non-cash payment facilities
CO 05/737 Loyalty schemes
CO 05/738 Gift facilities
CO 05/739 Road toll facilities
CO 05/740 Prepaid mobile facilities
CO 05/1070 General insurance distributors
CO 05/1122 Relief for providers of generic calculators
CO 05/1230 Credit rating agencies
CO 05/1243 Licensing relief for valuers providing valuations of shares in real estate companies
CO 06/68 Conditional relief for foreign licensees from financial reporting and record keeping obligations
CO 07/74 Wholesale equity schemes: licensing relief for trustees

Disclosure relief
RG 169 Disclosure: Discretionary powers

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ASIC Website: Printed 03/12/2010

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