Road map - managed investment schemes

Starting a scheme

Registering a scheme
RG 80 Managed investment schemes - interests not for money
RG 195 Group purchasing bodies for insurance and risk products
CO 98/1807 Exemption from Div 5 for excluded issue scheme
CO 02/318 The Society of Lloyd's
CO 02/211 Managed investment schemes - interests not for money
CO 02/226 Managed investment schemes - no issue required disclosure
CO 02/779 Responsible entities holding futures brokers licences
CO 08/1 Group purchasing bodies

Responsible entity - financial services licence

See also Financial services: getting a licence
RG 87 Charitable investment schemes and school enrolment deposits
RG 104 Licensing: Meeting your general obligations
RG 105 Licensing: Organisational competence
RG 140 Serviced strata schemes

Scheme constitutions
RG 134 Managed investments: Constitutions
CO 98/60 Protecting class rights in a managed investment scheme
CO 98/1808 Allowing constitutions to use Appendix 15A of the ASX Listing Rules
CO 05/26 Constitutional provisions about the consideration to acquire interests

Compliance plans
RG 132 Managed investments: Compliance plans
RG 133 Managed investments: Scheme property arrangements
CO 98/50 Incorporating parts of other compliance plans

Compliance committee
RG 132 Managed investments: Compliance plans
RG 136 Managed investments: Discretionary powers and closely related schemes
CO 98/1805 Former representative on compliance committee
CO 98/1806 Related bodies corporate and external members of compliance committee

Scheme property
RG 133 Managed investments: Scheme property arrangements
RG 144 Mortgage investment schemes
RG 160 Time-sharing schemes
RG 166 Licensing: Financial requirements
CO 98/51 Relief from duty to separate assets of a managed investment scheme
CO 98/55 Investments in unregistered schemes (revoked 22/10/2007: see [CO 07/570])

Audit of the compliance plan
RG 132 Managed investments: Compliance plans

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Running a scheme

RG 136 Managed investments: Discretionary powers and closely related schemes

Applications to invest
RG 127 Additional investments in managed investment schemes
CO 02/437 Eligible applications - relief from s1016A(2)(a) for managed investment products
CO 02/1072 Top up relief for managed investment schemes
CO 02/262 Applications to switch managed investment products

Audit of the financial report
RG 34 Auditors’ obligations: reporting to ASIC
RG 115 Audit relief for proprietary companies
RG 187 Auditor rotation
INFO 64 Resignation and removal of auditors of registered schemes or compliance plans

Changing the responsible entity
RG 171 Anomalies and issues in the takeover provisions

Continuous disclosure

See also Companies: continuous disclosure
RG 95 Disclosing entity provisions relief

Fees
CO 03/217 Differential fees

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Financial reporting

See also Financial reporting
RG 68 New financial reporting and procedural requirements
CO 98/100 Rounding in financial reports and directors' reports
CO 98/101 Members of companies, registered schemes and disclosing entities who are uncontactable
CO 04/967 Registered schemes - disclosure of remuneration
CO 05/642 Combining financial reports of stapled security issuers
CO 05/643 Combining registered scheme financial reports (revoked 29/6/2006: see [CO 06/441])
CO 05/644 Disclosing post balance date acquisitions and disposals
CO 06/441 Including different registered scheme financial reports in a single document

Fundraising

Hawking and advertising

See also Financial services: hawking and advertising
CO 02/145 Relief from exposure period: managed investment products able to be traded on a licensed market
CO 02/641 Hawking - securities and managed investments

Meetings
CO 98/57 Exemption from calling a meeting of unitholders under s1457
CO 99/374 Nomination of a related body corporate as the proposed responsible entity
CO 99/840 Transitional relief and quorum requirements
INFO 22 Company resolutions

Members withdrawal rights
RG 134 Managed investments: Constitutions
RG 101 On-market buy-backs by ASX-listed schemes
CO 07/422 On-market buy-backs by ASX-listed schemes

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Product disclosure statement

See also Financial services: product disclosure statements
RG 97 Enhanced fee disclosure regulations: Questions and answers
REP 16 Disclosure of fees and charges in managed investments, review of current Australian requirements and options for reform (Ramsay report)
REP 22 A review of the research on the past performance of managed funds

Responsible entity's duties

See also Financial services: ongoing licensee obligations
RG 104 Licensing: Meeting your general obligations
RG 127 Additional investments in managed investment schemes
RG 133 Managed investments: Scheme property arrangements
RG 139 Approval of external complaints resolution schemes
RG 140 Serviced strata schemes
RG 160 Time-sharing schemes
RG 190 Offering securities in New Zealand and Australia under mutual recognition

Takeovers and reconstructions

Related party transactions
RG 76 Related party transactions
RG 159 Takeovers, compulsory acquisitions and substantial holdings

Sale facilities
RG 161 Share and interest sale facilities
CO 08/10 Share and interest sale facilities

Unit pricing
RG 94 Unit pricing: guide to good practice
RG 132 Managed investments: Compliance plans

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Types of schemes

RG 2 Preparing your AFS licence application (AFS Licensing Kit: Part 2)
REP 22 A review of the research on the past performance of managed funds

Charitable and educational schemes
RG 56 Prospectuses
RG 87 Charitable Investment schemes and school enrolment deposits
RG 95 Disclosing entity provisions relief
CO 98/67 Charitable investment schemes - continuous disclosure
CO 02/151 School enrolment deposits
CO 02/184 Charitable investment schemes - fundraising

Closely related schemes
RG 136 Managed investments: Discretionary powers and closely related schemes

Direct real property schemes
RG 46 Unlisted property schemes - improving disclosure for retail investors
RG 77 Property trusts and property syndicates
CO 02/182 Real property rental schemes
CO 02/183 Small property syndicates
CO 02/239 Participating property syndicates
CO 00/213 Real estate companies

Film schemes
RG 19 Film Investment Schemes
CO 02/210 Interests in film and theatrical ventures
CO 02/236 Film investment schemes

Financial asset schemes
RG 133 Scheme property arrangements

Foreign collective investment schemes
RG 178 Foreign collective investment schemes
CO 00/184 Relief to facilitate offer of interests in registered schemes in New Zealand
CO 00/200 Relief for operations of foreign managed investment schemes
CO 02/149 Relief to facilitate issue of interests in registered schemes to New Zealand investor (revoked 25/5/2007: see [CO 07/150])
CO 02/263 Foreign interests in a managed investment scheme traded on an approved foreign exchange: 20 or fewer offers in Australia in 12 months
CO 04/10 Statement of Advice relief for certain products able to be traded on an approved foreign market (revoked 25/5/2007: see [CO 07/150])
CO 04/526 Foreign collective investment schemes
CO 07/753 Singapore collective investment schemes
CO 08/506 Hong Kong collective investment schemes
REP 134 Enhancing capital flows into and out of Australia
INFO 93 Practical guidance for operators of foreign collective investment schemes seeking to offer in Australia

Horse schemes
RG 91 Horse racing and breeding schemes
CO 98/65 Horse racing syndicates
CO 02/172 Horse breeding schemes - private broodmare syndication
CO 02/178 Horse breeding schemes - private stallion syndication
CO 02/319 Horse racing syndicates

IDPS schemes and IDPS like schemes
RG 148 Investor directed portfolio services
CO 00/5 Investor directed portfolio services - deregistration of registered managed investment schemes
CO 02/294 Investor directed portfolio services
CO 02/296 Investor directed portfolio-like services provided through a registered managed investment scheme
CO 04/523 Investor directed portfolio services takeovers relief

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Managed discretionary accounts
RG 127 Additional investments in managed investment schemes
RG 179 Managed discretionary account services
CO 02/295 Nominee and custody services
CO 04/194 Managed discretionary accounts

Mortgage schemes
RG 45 Mortgage schemes - improving disclosure for retail investors
RG 144 Mortgage investment schemes
CO 00/188 Solicitors mortgage investment companies
CO 00/229 Solicitors mortgage investment companies
CO 02/238 Mortgage schemes - Chapter 5C and disclosure relief

Primary production schemes

See also Horse schemes
REP 17 Compliance with advice and disclosure obligations: Report on primary production schemes
CO 02/171 Private ostrich schemes

Serviced strata schemes and management rights schemes
RG 140 Serviced strata schemes
CO 99/463 Serviced strata schemes valuation
CO 02/185 Sale of strata units for $500,000 or more
CO 02/245 Closed schemes
CO 02/303 Management rights schemes
CO 02/304 Management rights schemes
CO 02/305 Management rights schemes
CO 07/189 Management rights schemes where the strata unit cannot be used as a residence

Time-sharing schemes
RG 160 Time-sharing schemes
CO 00/227 Time-sharing schemes: private arrangements
CO 00/228 Time-sharing schemes: securities hawking relief
CO 00/1115 Time-sharing: temporary relief for fixed term schemes
CO 00/2460 Time-sharing schemes - property valuations
CO 02/237 Time-sharing schemes - operation of rental pool
CO 03/104 Relief facilitating the acquisition and sale of forfeited interests in registered time-sharing schemes
CO 04/1204 Time-sharing schemes - extension of time until 30 June 2005 to belong to an ASIC approved Industry Supervisory Body
CO 05/403 Time-sharing schemes - extension of time until 31 March 2006 to belong to an ASIC approved Industry Supervisory Body

Trustee common funds
RG 32 Trustee companies common funds
RG 88 Trustee and nominee companies
RG 136 Managed investments: Discretionary powers and closely related schemes
CO 00/199 Trustee companies' common funds
CO 00/1067 Trustee common funds

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Winding up and deregistration

RG 148 Investor directed portfolio services
RG 32 Trustee companies common funds
INFO 25 Deregistering a company

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ASIC Website: Printed 03/17/2010

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