Lodge online

Register for online access

How to lodge

Download paper forms

Search all forms

Search ASIC registers

Within: 

Search financial services/credit licensees and representatives, liquidators, auditors and more

Professional registers

--------------------------------------------------

More information

Lodge online

decrease text size increase text size print page

Regulatory guides



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-RG 200
RG 201 - RG 220
RG 221 -

These documents give guidance to regulated entities by:
Before 5 July 2007 some of these documents may have been issued as policy statements, practice notes, guides, guidelines or kits, or frequently asked questions.

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



RG no.

Title

Previous no.

RG 1

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


RG 2

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


RG 3

AFS Licensing Kit: Part 3 – Preparing your additional proofs


RG 4

Intervention
Withdrawn - see now Information Sheet 180 ASIC’s approach to involvement in private court proceedings (INFO 180)

PS 4

RG 5

Relevant interests and substantial holding notices
(See cross-references to new takeover regulatory guidance for information about consolidation of previous guidance)

PN 5

RG 6

Takeovers: Exceptions to the general prohibition
(See cross-references to new takeover regulatory guidance for information about consolidation of previous guidance)

PN 4

RG 7

Calculating time periods

PN 19

RG 8

Hearings practice manual
See also our information sheet on
Administrative hearings


RG 9

Takeover bids
(See cross-references to new takeover regulatory guidance for information about consolidation of previous guidance)

PN 25

RG 10

Compulsory acquisitions and buyouts
(See cross-references to new takeover regulatory guidance for information about consolidation of previous guidance)

PN 32

RG 11

Disclosure of offerors' intentions in takeover documents
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 12

Valuation reports and profit forecasts
Superseded (see RG 111 and RG 112)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

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 shares

PN 24

RG 25

Takeovers: False and misleading statements

PS 25

RG 26

Resignation of auditors

PS 26

RG 27

Takeovers: minimum acceptance conditions
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


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 and transfers under a global debenture

PS 30

RG 31

Acquisitions and disposals by a broker acting as principal
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


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
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 36

Licensing: Financial product advice and dealing


RG 37

Takeovers — financing arrangements
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance

PN 37

RG 38

The hawking provisions


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)


RG 41

Limited partnerships fundraising

PS 41

RG 42

Independence of experts' reports
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
Read the regulation impact statement


RG 46

Unlisted property schemes—improving disclosure for retail investors
Read the regulation impact statement


RG 47

Public comment - see now (INFO 152)

PS 47

RG 48

Takeovers aspects of options over shares
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


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


RG 54

Principles for cross border financial services regulation



RG 55

Statements in disclosure documents and PDSs: 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

PS 60

RG 61

Underwriting — application of exemptions
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 62

Better disclosure for investors


RG 63

Access to debenture and prescribed interest registers

PS 63

RG 64

Failure to lodge documents (currently under review)

PS 64

RG 65

Section 1013DA disclosure guidelines


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 and notes: Improving disclosure for retail investors
Read the regulation impact statement


RG 70

Prospectuses for cash box and investment companies

PN 70

RG 71

Downstream acquisitions
See CP 170, 11 November 2011

PS 71

RG 72

Foreign securities prospectus relief

PS 72

RG 73

Continuous disclosure obligations: Infringement notices


RG 74

Acquisitions approved by members

PS 74

RG 75

Independent expert reports to shareholders
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


RG 79

Research report providers: Improving the quality of investment research


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


RG 83

Reinstatement of companies (currently under review)

PS 83

RG 84

Super switching advice: Questions and answers
Withdrawn 20 August 2013. The content is now included in INFO 182


RG 85

Reporting requirements for non-reporting entities


RG 86

Tracing beneficial ownership

PS 86

RG 87

Charities

PS 87

RG 88

Trustee and nominee companies
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 89

Disclosing pro forma financial information (not yet released)


RG 90

Example Statement of Advice: Scaled advice for a new client


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)


RG 95

Disclosing entity provisions relief

PS 95

RG 96

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



RG 97

Disclosing fees and costs in PDSs and periodic statements


RG 98

Licensing: Administrative action against financial services providers


RG 99

Quotation of securities offered by prospectus (s1031)

PS 99

RG 100

Enforceable undertakings
See also Enforceable undertakings templates


RG 101

On-market buy-backs by ASX-listed schemes
Read the regulation impact statement

RG 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

Fundraising: Facilitating electronic offers of securities

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 113

Not yet assigned


RG 114

Not yet assigned


RG 115

Audit relief for proprietary companies

PS 115

RG 116

Commentary on compliance plans: Agricultural industry schemes


RG 117

Commentary on compliance plans: Financial asset schemes


RG 118

Commentary on compliance plans: Contributory mortgage schemes


RG 119

Commentary on compliance plans: Pooled mortgage schemes


RG 120

Commentary on compliance plans: Property schemes


RG 121

Doing financial services business in Australia


RG 122

Not yet assigned


RG 123

Not yet assigned


RG 124

Not yet assigned


RG 125

Share purchase plans

PS 125

RG 126

Compensation and insurance arrangements for AFS licensees
Read the information release
Read the regulation impact statement


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 130

Managed investments: Licensing (withdrawn)

PS 130

RG 131

Not yet assigned


RG 132

Managed investments: Compliance plans

PS 132

RG 133

Managed investments and custodial or depository services: Holding assets
Read the regulation impact statement (PDF 383 KB)

PS 133

RG 134

Managed investments: Constitutions
Read the regulation impact statement (PDF 237 KB)

PS 134

RG 135

Managed investments: Transitional issues

PS 135

RG 136

Managed investments: Discretionary powers and closely related schemes

PS 136

RG 137

Not yet assigned


RG 138

Not yet assigned


RG 139

Approval of external complaints resolution schemes
Read the regulation impact statement
See Class Order [CO 10/249]
External dispute resolution schemes (credit)
See Class Order [CO 10/250] Internal dispute resolution procedures (credit)
SeeCO 11/261 Trustee companies providing traditional trustee company services - deferral of start date for dispute resolution requirements

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
Superseded by RG 60

PS 142

RG 143

Takeovers provisions: Warrants
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 144

Mortgage investment schemes

PS 144

RG 145

Collateral benefits — Takeovers funding and pre-bid purchases
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 146

Licensing: Training of financial product advisers

PS 146

RG 147

Mutuality — Financial institutions

PS 147

RG 148

Platforms that are managed investment schemes
Read the regulation impact statement (PDF 322 KB)


RG 149

Nominee and custody services

PS 149

RG 150

Electronic applications and dealer personalised applications
Withdrawn: see now RG 107

PS 150

RG 151

Fundraising: Discretionary powers

PS 151

RG 152

Lodgment of disclosure documents

PS 152

RG 153

Not yet assigned


RG 154

Certificate by a qualified accountant

PS 154

RG 155

Debenture prospectuses

PS 155

RG 156

Advertising of debentures and notes to retail investors
Read the regulation impact statement


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
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 160

Time-sharing schemes

PS 160

RG 161

Share and interest sale facilities
Read the business cost calculation report


RG 162

Internet discussion sites

IPS 162

RG 163

Takeovers: Minimum bid price principle: s621

PS 163

RG 164

Superseded (see RG 104 and RG 105)


RG 165

Licensing: Internal and external dispute resolution
Read the regulation impact statement
See Class Order [CO 10/249]
External dispute resolution schemes (credit)
See Class Order [CO 10/250] Internal dispute resolution procedures (credit)
See [CO 10/517] Internal dispute resolution (credit - unlicensed COI lenders)
SeeCO 11/261 Trustee companies providing traditional trustee company services - deferral of start date for dispute resolution requirements

PS 165

RG 166

Licensing: Financial requirements
Read the regulation impact statement (PDF 338 KB)
Read the regulation impact statement (special custody assets) (PDF 383 KB)


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
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


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

Read the regulatory impact statement - FOFA best interests duty and related obligations (PDF 338 KB)


PS 175

RG 176

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
Read the regulation impact statement

PS 184

RG 185

Non-cash payment facilities
Read the regulation impact statement

PS 185

RG 186

External administration: liquidator registration
Read the regulation impact statement

PS 186

RG 187

Auditor rotation

PS 187

RG 188

Disclosure in reconstructions
Read the regulation impact statement

PS 188

RG 189

Disclosure relief for rights issues


RG 190

Offering securities in New Zealand and Australia under mutual recognition


RG 191

Superannuation: helping investors look at longer-term returns—ASIC’s best practice guide (Withdrawn 5/6/2009)


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


RG 197

Warrants: Out-of-use notices


RG 198

Unlisted disclosing entities: Continuous disclosure obligations


RG 199

Broadening the rights issue and dividend reinvestment plan exceptions for takeovers
Withdrawn: see Media Release 13-148MR and cross-references to new takeover regulatory guidance


RG 200

Advice to super fund members(withdrawn - see RG 244)


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 for and varying a credit licence


RG 205

Credit licensing: General conduct obligations


RG 206

Credit licensing: Competence and training
RIS


RG 207

Credit licensing: Financial requirements
RIS


RG 208

How ASIC charges fees for credit relief applications


RG 209

Credit licensing: Responsible lending conduct
RIS


RG 210

Compensation and insurance arrangements for credit licensees
RIS


RG 211

Clearing and settlement facilities: Australian and overseas operators


RG 212

Client money relating to dealing in OTC derivatives


RG 213

Facilitating debt raising


RG 214

Guidance on ASIC market integrity rules for ASX and ASX 24 market


RG 215

Guidance on ASIC market integrity rules for IMB, NSXA and SIM VSE markets


RG 216

Markets Disciplinary Panel


RG 217

Duty to prevent insolvent trading: Guide for directors


RG 218

Licensing: Administrative action against persons engaging in credit activities


RG 219

Non-standard margin lending facilities: Disclosure to investors


RG 220

Early termination fees for residential loans: Unconscionable fees and unfair contract terms
RIS


RG 221

Facilitating online financial services disclosures


RG 222

Substantial holding disclosure: Securities lending and prime broking


RG 223

Guidance on ASIC market integrity rules for competition in exchange markets
Read the regulatory impact statement (PDF 818 KB)


RG 224

Guidance on ASIC market integrity rules for the Chi-X and APX markets


RG 225

Markets Disciplinary Panel practices and procedures


RG 226

Regulatory Guide 226 Guidance on ASIC market integrity rules for capital and related requirements: ASX, ASX 24, Chi-X and APX markets


RG 227

Over-the-counter contracts for difference: Improving disclosure for retail investors


RG 228

Prospectuses: Effective disclosure for retail investors


RG 229

Superannuation forecasts


RG 230

Disclosing non-IFRS financial information


RG 231

Infrastructure entities: Improving disclosure for retail investors


RG 232

Agribusiness managed investment schemes: Improving disclosure for retail investors


RG 233

Indirect self-acquisition: Relief for investment funds


RG 234

Advertising financial products and advice services (including credit): Good practice guidance


RG 235

Registering your business name


RG 236

Do I need an AFS licence to participate in carbon markets?


RG 237

Trustee companies: Transfer determinations by ASIC


RG 238

Suspicious activity reporting


RG 239

Retail OTC derivative issuers: Financial requirements
Withdrawn (1/11/2012). The content is now included in RG 166.


RG 240

Hedge funds: Improving disclosure


RG 241

Electronic trading


RG 242

ASIC’s power to wind up abandoned companies


RG 243

Registration of self-managed superannuation fund auditors


RG 244

Giving information, general advice and scaled advice


RG 245

Fee disclosure statements


RG 246

Conflicted remuneration


RG 247

Effective disclosure in an operating and financial review


RG 248

Litigation schemes and proof of debt schemes: Managing conflicts of interest


RG 249

Derivative trade repositories


RG 250

Guidance on ASIC market integrity rules for risk management and other requirements: ASX 24 market


RG 251

Derivative transaction reporting


RG 252

Keeping superannuation websites up to date


RG 253

Fundraising: Facilitating offers of CHESS Depository Interests


To subscribe to a fully consolidated collection of regulatory guides in the ASIC Digest or for information about our Policy Alert service, contact our publisher Thomson Reuters.












































































































decrease text size increase text size print page