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Reports



These documents describe ASIC compliance or relief activity or the results of a research project.

Complete list of reports by number and date:
2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007 | 2006 | 2005 | 2004 | 2003 | 2002 | 2001 | 2000 | 1999 | 1998


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


2014



Report 408 Review of the implementation of RG148: Platforms that are managed investment schemes
Released 16 September 2014.
Download REP 408 (PDF 272 KB) | Read the media release

Report 407 Review of the financial advice industry’s implementation of the FOFA reforms
Released 17 September 2014.
Download REP 407 (PDF 421 KB) | Read the media release

Report 406 ASIC regulation of corporate finance: January to June 2014
Released 29 August 2014.
Download REP 406 (PDF 285 KB) | Read the media release

Report 405 ASIC supervision of markets and participants: January to June 2014
Released 21 August 2014.
Download REP 405 (PDF 437 KB) | Read the media release

Report 404 National Financial Literacy Strategy 2014–17: Action plan
Released 1 August 2014.
Download REP 404 (PDF 576 KB) | Read the media release

Report 403 National Financial Literacy Strategy 2014–17
Released 1 August 2014.
Download REP 403 (PDF 2.29MB) | Read the media release

Report 402 ASIC enforcement outcomes: January to June 2014
Released 31 July 2014.
Download REP 402 (PDF 430 KB) | Read the media release

Report 401 Market assessment report: ASX Group
Released 28 July 2014.
Download REP 401 (PDF 366 KB) | Read the media release

Report 400 Responses to feedback on REP 384 Regulating complex products
Released 11 July 2014.
Download REP 400 (PDF 179 KB) | Read the media release | Read REP 384 | Read responses to REP 384

Report 399 Independent evaluation of ASIC’s implementation of the Helping Our Kids Understand Finances initiative
Released 9 July 2014.
Download REP 399 (PDF 1.07MB) | Read the media release

Report 398 Fee and cost disclosure: Superannuation and managed investment products
Released 8 July 2014.
Download REP 398 (PDF 282 KB) | Read the media release

Report 397 Audit inspection program report for 2012–13
Released 27 June 2014.
Download REP 397 (PDF 388 KB) | Read the media release

Report 396 Response to submissions on CP 219 Keeping superannuation websites up to date
Released 16 June 2014.
Download REP 396 (PDF 165 KB) | Read the media release

Report 395 Overview of decisions on relief applications (October 2013 to January 2014)
Released 26 May 2014.
Download REP 395 (PDF 235KB) | Read the media release

Report 394 Review of recent rule changes affecting dark liquidity
Released 19 May 2014.
Download REP 394 (PDF 202 KB)
- Attachment to REP 394: Report by Charles Lane Advisory: Review of recent rule changes affecting dark liquidity (PDF 312 KB) | Read the media release

Report 393 Handling of confidential information: Briefings and unannounced corporate transactions
Released 27 May 2014.
Download REP 393 (PDF 364 KB) | Read the media release

Report 392 Market assessment report: Chi-X Australia Pty Ltd
Released 7 May 2014.
Download REP 392 (PDF 246 KB)

Report 391 ASIC’s deregulatory initiatives
Released 7 May 2014.
Download REP 391 (PDF 221 KB) | Read the media release

Report 390 Review of OTC electricity derivatives market participants' risk management policies
Released 17 April 2014.
Download REP 390 (PDF 265 KB) | Read the media release

Report 389 ASIC regulation of registered liquidators: January to December 2013
Released 8 April 2014.
Download REP 389 (PDF 337 KB) | Read the media release

Report 388 Market assessment report: Yieldbroker Pty Limited
Released 2 April 2014.
Download REP 388 (PDF 131 KB)

Report 387 Penalties for corporate wrongdoing
Released 20 March 2014
Download REP 387 (PDF 958 KB) | Read the media release

Report 386 ASIC supervision of markets and participants: July to December 2013
Released 19 March 2014
Download REP 386 (PDF 234 KB) | Read the media release

Report 385 Response to submissions on CP 211 Facilitating electronic offers of securities: Update to RG 107
Released 3 March 2014
Download REP 385 (PDF 149 KB) | Read CP 211 | View the submissions | Read the media release

Report 384 Regulating complex products
Released 31 January 2014.
Download REP 384 (PDF 390 KB) | Read the media release | Read responses to REP 384

Report 383 ASIC enforcement outcomes: July to December 2013
Released 31 January 2014
Download REP 383 (PDF 406 KB) | Read the media release

Report 382 Overview of decisions on relief applications (June to September 2013)
Released 28 January 2014.
Download REP 382 (PDF 276 KB) | Read the media release

Report 381 Response to submissions on CP 208 ASX Managed Funds Service: Relief from the application form requirement
Released 7 January 2014.
Download REP 381 (PDF 114 KB) | Read CP 208 | View the submissions | Read the media release


2013


Report 380 Market assessment report: NSX Group
Released 20 December 2013.
Download REP 380 (PDF 264 KB)

Report 379 Market assessment report: Asia Pacific Exchange Limited
Released 12 December 2013.
Download REP 379 (PDF 127 KB)

Report 378 Consumer testing of the MySuper product dashboard
Released 6 December 2013.
Download REP 378 (PDF 2.38 MB)

Report 377 Review of advice on retail structured products
Released 4 December 2013.
Download REP 377 (PDF 213 KB)

Report 376 Response to submissions on CP 197 Holding scheme property and other assets
Released 21 November 2013.
Dowload REP 376 (PDF 148 KB) | Read the media release | Read CP 197 | Read the submissions

Report 375 National Financial Literacy Stocktake Survey 2013
Released 18 October 2013.
Download REP 375 (PDF 1,927 KB)

Report 374 Shaping a National Financial Literacy Strategy for 2014–17: Consultation feedback report
Released 18 October 2013.
Download REP 374 (PDF 379 KB)

Report 373 Response to submissions on CP 196 Periodic statements for quoted and listed managed investment products and relief for AQUA products
Released 17 October 2013.
Download REP 373 (PDF 157 KB) | Read the media release | Read CP 196 | Read the submissions

Report 372 Insolvency statistics: External administrators’ reports (July 2012 to June 2013)
Released 17 October 2013.
Download REP 372 (PDF 522 KB) | Read the media release

Report 371 Overview of decisions on relief applications (February to May 2013)
Released 19 September 2013.
Download REP 371 (PDF 244 KB) | Read the media release

Report 370 The Australian hedge funds sector and systemic risk
Released 10 September 2013.
Download REP 370 (584 KB) | Read the media release

Report 369 Response to submissions on CP 210 Demutualisation approval procedure rules: Minimum member participation requirement
Released 30 August 2013.
Download REP 369 (128 KB) | Read the media release | Read CP 210 | View the submissions

Report 368 Emerging market issuers
Released 27 August 2013.
Download REP 368 (PDF 300 KB) | Read the media release

Report 367 Market assessment report: IMB Ltd
Released 14 August 2013.
Download REP 367 (PDF 153 KB)

Report 366 ASIC supervision of markets and participants: January to June 2013
Released 21 August 2013.
Download REP 366 (PDF 230 KB) | Read the media release

Report 365 Hybrid securities
Released 20 August 2013.
Download REP 365 (PDF 334 KB) | Read the media release

Report 364 Response to submissions on CP 202 Dark liquidity and high-frequency trading: Proposals
Released 12 August 2013.
Download REP 364 (PDF 384 KB) | Read CP 202 | View the submissions | Read the media release

Report 363 Market assessment report: Reuters Transaction Services Limited
Released 9 August 2013.
Download REP 363 (PDF 90 KB)

Report 362 Review of financial advice industry practice: Phase 2
Released 31 July 2013.
Download REP 362 (PDF 277 KB) | Read the media release

Report 361 Consumer credit insurance policies: consumers’ claims experiences
Released 31 July 2013.
Download REP 361 (PDF 451 KB) | Read the media release

Report 360 ASIC enforcement outcomes: January to June 2013
Released 24 July 2013.
Download REP 360 (PDF 346 KB) | Read the media release

Report 359 Report on the Australian OTC Derivatives Market – July 2013
Released 17 July 2013.
A joint report by the Australian Prudential Regulation Authority, Australian Securities and Investments Commission and Reserve Bank of Australia.
Download REP 359 (PDF 585KB)

Report 358 Review of credit assistance providers’ responsible lending conduct relating to debt consolidation
Released 18 July 2013.
Download REP 358 (PDF 222KB) | Read the media release

Report 357 Response to submissions on CP 205 Derivative transaction reporting
Released 11 July 2013.
Download REP 357 (PDF 261KB) | Read CP 205 | View the submissions | Read the media release

Report 356 Response to submissions on CP 201 Derivative trade repositories
Released 11 July 2013.
Download REP 356 (PDF 175 KB) | Read CP 201 | View the submissions | Read the media release

Report 355 Market assessment report: BGC Partners (Australia) Pty Limited
Released 3 July 2013.
Download REP 355 (PDF 194 KB)

Report 354 Market assessment report: London Metal Exchange
Released 3 July 2013.
Download REP 354 (PDF 127 KB)

Report 353 Further review of term deposits
Released 4 July 2013.
Download REP 353 (PDF 356 KB) | Read the media release

Report 352 Response to submissions on CP 194 Financial requirements for custodial or depository service providers
Released 28 June 2013.
Download REP 352 (PDF 148 KB) | Read CP 194 | View the submissions | Read the media release

Report 351 Response to submissions on CP 176 Review of ASIC policy on platforms: Update to RG 148
Released 28 June 2013.
Download REP 351 (PDF 160 KB) | Read CP 176 | View the submissions | Read the media release

Report 350 Response to submissions on CP 193 Takeovers, compulsory acquisitions and substantial holdings
Released 21 June 2013.
Download REP 350 (PDF 221 KB) | Read CP 193 | View the submissions | Read the media release

Report 349 Market assessment report: Eurex Frankfurt AG
Released 5 June 2013.
Download REP 349 (PDF 83 KB)

Report 348 Response to submissions on CP 190 Small business lending complaints: Update to RG 139
Released 13 June 2013.
Download REP 348 (PDF 115 KB) | Read the media release

Report 347 Response to submissions on CP 188 Managed investments: Constitutions—Updates to RG 134
Released 5 June 2013.
Download REP 347 (PDF 161 KB) | Read CP 188 | View the submissions | Read the media release

Report 346 Market assessment report: ICE Futures Europe
Released 24 May 2013.
Download REP 346 (PDF 85 KB)

Report 345 Market assessment report: ASX Group
Released 23 May 2013.
Download REP 345 (PDF 223 KB) | Read the media release

Report 344 Overview of decisions on relief applications (October 2012 to January 2013)
Released 23 May 2013.
Download REP 344 (PDF 338 KB) | Read the media release

Report 343 Response to submissions on CP 195 Proposed amendments to ASIC market integrity rules: ASX 24 and FEX markets
Released 9 May 2013.
Download REP 343 (PDF 133 KB) | Read the media release | Read CP 195 | View the submissions

Report 342 ASIC regulation of registered liquidators: January to December 2012
Released 1 May 2013.
Download REP 342 (PDF 282 KB) | Read the media release

Report 341 Retail investor research into structured ‘capital protected’ and ‘capital guaranteed’ investments
Released 1 May 2013.
Download REP 341 (PDF 365 KB) | Read the media release

Report 340 ‘Capital protected’ and ‘capital guaranteed’ retail structured products
Released 1 May 2013.
Download REP 340 (PDF 473 KB) | Read the media release

Report 339 Review of the National Financial Literacy Strategy – Background report
Released 30 April 2013.
Download REP 339 (PDF 273 KB) | Read CP 206 | Read the media release

Report 338 Response to submissions on CP 185 Litigation schemes and proof of debt schemes: Managing conflicts of interest
Released 22 April 2013.
Download REP 338 (PDF 137 KB) | Read CP 185 | View the submissions

Report 337 SMSFs: Improving the quality of advice given to investors
Released 18 April 2013.
Down REP 337 (PDF 500 KB) | Read the media release

Report 336 ASIC enforcement outcomes: July to December 2012
Released 9 April 2013.
Download REPP 336 (PDF 507 KB) | Read the media release

Report 335 Market assessment report: Mercari Pty Limited
Released 4 April 2013.
Download REP 335 (PDF 117 KB)

Report 334 Response to submissions on CP 187 Effective disclosure in an operating and financial review
Released 27 March 2013.
Download REP 334 (PDF 124KB) | Read the media release | View the submissions to CP 187 | Read CP 187

Report 333 Market assessment report: Yieldbroker Pty Limited
Released 26 March 2013.
Download REP 333 (PDF 125KB)

Report 332 Response to submissions on CP 181 Retail trading in Commonwealth Government Securities
Released 27 March 2013.
Download REP 332 (PDF 184 KB) | Read CP 181

Report 331 Dark liquidity and high-frequency trading
Released 18 March 2013.
Download REP 331 (PDF 832KB) | Read the media release

Report 330 Review of licensed credit assistance providers’ monitoring and supervision of credit representatives
Released 13 March 2013.
Download REP 330 (PDF 246 KB) | Read the media release

Report 329 Response to submissions on CP 191 FOFA: Approval of codes of conduct for exemption from opt-in requirement
Released 1 March 2013.
Download REP 329 (PDF 139 KB) | Read the media release | View the submissions to CP 191 | Read CP 191

Report 328 Response to submissions on CP 189 Future of Financial Advice: Conflicted remuneration
Released 4 March 2013.
Download REP 328 (PDF 294 KB) | View the submissions to CP 189 | Read CP 189

Report 327 ASIC supervision of markets and participants: July to December 2012
Released 26 February 2013.
Download REP 327 (PDF 202 KB)

Report 326 Market assessment report: NSX Group
Released 22 February 2013.
Download REP 326 (PDF 218 KB)

Report 325 Overview of decisions on relief applications (June to September 2012)
Released 31 January 2013.
Download REP 325 (PDF 250 KB) | Read the media release


2012



Report 324 Money market funds
Released 20 December 2012.
Download the report (PDF 469KB)

Report 323 Market assessment report: IMB Ltd
Released 19 December 2012.
Download the report (PDF 140 KB)

Report 322 Response to submissions on CP 186: Clearing and settlement facilities: International principles and cross-border policy (Update to RG 211)
Released 18 December 2012.
Download the report (PDF 266 KB)

Report 321 Market assessment report: Board of Trade of the City of Chicago Inc. and Chicago Mercantile Exchange Inc.
Released 18 December 2012.
Download the report (PDF 158 KB)

Report 320 Response to submissions on CP 177 Electricity derivative market participants: Financial requirements
Released 13 December 2012.
Download the report (PDF 140 KB) | View the media release | View the submissions to CP 177 | Read CP 177

Report 319 Response to submissions on CP 182 on the best interests duty and related obligations and CP 183 on scaled advice
Released 13 December 2012.
Download the report (PDF 140 KB) | View the submissions to CP 182 and CP 183 | Read CP 182 and CP 183

Report 318 Response to submissions on CP 171 Strengthening the regulation of research report providers
Released 10 December 2012.
Download the report (PDF 112 KB) | View the submissions to CP 171

Report 317 Audit inspection program report for 2011-12
Released 4 December 2012.
Download the report (PDF 227 KB) | Read the media release | Read media release about response

Report 316 Review of client money handling practices in the retail OTC derivatives sector
Released 3 December 2012.
Download the report (PDF 330 KB)

Report 315 Market assessment report: Chi-X Australia Pty Ltd
Released 29 November 2012.
Download the report (PDF 230 KB)

Report 314 Market assessment report: Reuters Transaction Services Limited
Released 22 November 2012.
Download the report (PDF 86 KB)

Report 313 Response to submissions on CP 178 Advertising credit products and credit services
Released 15 November 2012.
Read the report (PDF 228 KB) | View the media release | View the submissions to CP 178 | Read CP 178

Report 312 Market assessment report: Bloomberg Tradebook Australia Pty Ltd
Released 8 November 2012.
Read the report (PDF 122 KB)

Report 311 Response to submissions on CP 179 and CP 184 Australian market structure: Draft market integrity rules and guidance
Released 21 November 2012.
Read the report (PDF 164 KB) | View the submissions to CP 179 | View the submissions to CP 184

Report 310 Response to submissions on CP 180 ASIC's power to wind up abandoned companies
Released 8 November 2012.
Download the report (PDF 113 KB) | View the media release | View submissions to CP 180 | Read CP 180

Report 309 Report on the Australian OTC Derivatives Market – October 2012
A joint report by the Australian Prudential Regulation Authority, Australian Securities and Investments Commission and Reserve Bank of Australia.
Released 30 October 2012.
Download the report (PDF 1,009 KB)

Report 308 Response to submissions on CP 172 Review of EDR jurisdiction (debt recovery legal proceedings)
Released 19 October 2012.
Download the report (PDF 191 KB) | View submissions to CP 172 | Read CP 172

Report 307 Market assessment report: Asia Pacific Exchange Limited
Released 11 October 2012.
Download the report (PDF 220 KB)

Report 306 Market assessment report: Eurex Frankfurt AG
Released 9 October 2012.
Download the report (PDF 81 KB)

Report 305 Market assessment report: London Metal Exchange Limited
Released 3 october 2012.
Download the report (PDF 84 KB)

Report 304 Market assessment report: ICE Futures Europe
Released 3 October 2012.
Download the report (PDF 82 KB)

Report 303 Overview of decisions on relief applications (February to May 2012)
Released 28 September 2012.
Download the report (PDF 356 KB) | View the media release

Report 302 Short selling: Post-implementation review
Released 24 September 2012.
Download the report (PDF 348 KB)

Report 301 Response to submissions on CP 174 Hedge funds: Improving disclosure— Further consultation
Released 18 September 2012.
Download the report (PDF 209 KB) | View the submissions to CP 174 | View the submissions to earlier consultation CP147

Report 300 Review of early termination fees for residential loans entered into before 1 July 2011
Released 18 September 2012.
Download the report (PDF 376 KB) | View the media release

Report 299 ASIC enforcement outcomes: January to June 2012
Released 11 September 2012.
Download the report (PDF 276 KB) | View the media release

Report 298 Adequacy of risk management systems of responsible entities
Released 10 September 2012.
Download the report (PDF 229 KB) | View the media release

Report 297 Insolvency statistics: External administrators’ reports 1 July 2011–30 June 2012
Released 7 September 2012.
Download the report (PDF 537 KB) | View the media release

Report 296 ASIC supervision of markets and participants: January to June 2012
Released 13 August 2012.
Download the report (PDF 187 KB) | View the media release

Report 295 Market assessment report: BGC Partners (Australia) Pty Limited
Released 7 August 2012.
Download the report (PDF 130 KB)

Report 294 Market assessment report: Mercari Pty Limited
Released 7 August 2012.
Download the report (PDF 116 KB)

Report 293 Response to submissions on CP 156 Retail OTC derivative issuers: Financial requirements
Released 31 July 2012.
Download the report (PDF 211 KB) | Read CP 156 | View the submissions

Report 292 Paying for funerals: How consumers decide to meet the costs
Released 19 July 2012.
Download the report (PDF 401 KB) | View the media release

Report 291 Custodial and Depository services in Australia
Released 5 July 2012.
Download the report (PDF 329 KB) | View the media release

Report 290 Response to submissions on CP 168 Australian equity market structure: Further proposals
Released 28 June 2012.
Download the report (PDF 407 KB) | Read the media release | Read CP 168 | View the submissions | Read CP 179 (further consultation)

Report 289 Market assessment report: ASX Group
Released 5 July 2012.
Download the report (PDF 386 KB) | View the media release

Report 288 Overview of decisions on relief applications (October 2011 to January 2012)
Released 24 May 2012.
Download the report (PDF 361 KB) | View the media release

Report 287 ASIC regulation of registered liquidators: January to December 2011
Released 22 May 2012.
Download the report (PDF 407 KB) | Read the media release

Report 286 Response to submissions on CP 170 Downstream acquisitions: Update to RG 71
Released 16 May 2012.
Download the report (PDF 207 KB) | Read the media release | Read CP 170

Report 285 Response to submissions on CP 141 Mortgage schemes: Strengthening the disclosure benchmarks
Released 9 May 2012.
Download the report (PDF 201 KB) | Read the media release

Report 284 Market assessment report: Bloomberg Tradebook Australia Pty Ltd
Released 4 May 2012.
Download the report (PDF 201 KB)

Report 283 Response to submissions on CP 175 Carbon markets: Training and financial requirements
Released 2 May 2012.
Download the report (PDF 119 KB) | Read the media release | Read CP 175 | View the submissions

Report 282 Regulation of exchange traded funds
Released 29 March 2012.
Download the report (PDF 487 KB) | Read the media release

Report 281 ASIC enforcement outcomes: July to December 2011
Released 29 March 2012.
Download the report (PDF 257 KB) | Read the media release

Report 280 Response to submissions on CP 163 Unlisted property schemes: Update to RG 46
Released 28 March 2012.
Download the report (PDF 321 KB) | Read the media release | View submissions to CP 163 | Read CP 163


Report 279 Shadow shopping study of retirement advice
Released 27 March 2012.
Download the report (PDF 818 KB) | Read the media release

Report 278 Response to submissions on CP 167 Advertising financial products and advice services
Released 14 February 2012.
Download the report (PDF 127 KB) | Read the media release | View submissions to CP 167 | Read CP 167

Report 277 ASIC supervision of markets and participants: July to December 2011
Released 7 February 2012.
Download the report (PDF 194 KB) | Read the media release

Report 276 Modifying the naming provisions and advertising requirements
Released 8 February 2012.
Download the report (PDF 157 KB) | Read the advisory | Read CP 151

Report 275 Response to submissions on CP 137 and CP 162 Indirect self-acquisition by investment funds
Released 16 February 2012
Download the report (PDF 276 KB) | Read the advisory | Read CP 137 | Read CP 162

Report 274 Overview of decisions on relief applications (June to September 2011)
Released 31 January 2012
Download the report (PDF 227 KB) | Read the advisory

Report 273 Response to submissions on CP 133 Agribusiness schemes: Improving disclosure for retail investors
Released 30 January 2012
Download the report (PDF 198 KB) | Read the advisory | Read CP 133 | View submissions to CP 133

Report 272 Response to CP 134 and CP 154 Infrastructure entities: Improving disclosure for retail investors
Released 24 January 2012
Download the report (PDF 236 KB) | Read the media release | Read CP 134 | View submissions to CP 134


2011



Report 271 Response to submissions on CP 165 Credit assistance for home loans
Released 22 December 2011
Download the report (PDF 227KB) | Read the advisory | Read the CP | View the submissions

Report 270 Response to submissions on CP 159 Acquisitions approved by members: Update to RG 74
Released 21 December 2011
Download the report (PDF 204KB) | Read the advisory | View non-confidential submissions

Report 269 Response to submissions on CP 150 Disclosing financial information other than in accordance with accounting standards
Released 9 December 2011
Download the report (PDF 239KB) | Read the media release

Report 268 Response to submissions on CP 160 Credit rating agencies: IOSCO Code Annual Compliance Report
Released 13 December 2011
Download the report (PDF 229KB) | Read the advisory

Report 267 Market assessment report: Yieldbroker Pty Limited
Released 6 December 2011
Download the report (PDF 116KB)

Report 266 Response to submissions on CP 122 Superannuation forecasts: ASIC relief and guidance for super funds
Released 7 December 2011
Download the report (PDF 271KB) | Read the advisory

Report 265 Market assessment report: ASX Group
Released 23 November 2011
Download the report (PDF 479KB) | Read the advisory

Report 264 Review of micro lenders’ responsible lending conduct and disclosure obligations
Released 22 November 2011
Download the report (PDF 179KB) | Read the media release

Report 263 Insolvency statistics: External administrators’ reports 1 July 2010–30 June 2011
Released 22 November 2011
Download the report (PDF 544KB) | Read the media release

Report 262 Review of credit assistance providers’ responsible lending conduct, focusing on ‘low doc’ home loans
Released 17 November 2011
Download the report (PDF 214KB) | Read the media release

Report 261 Response to submissions on CP 155 Prospectus disclosure: Improving disclosure for retail investors
Released 10 November 2011
Download the report (PDF 174KB) | Read the media release | Read the CP | View the submissions

Report 260 Market assessment report: NSX Ltd group
Released 8 November 2011
Download the report (PDF 164KB)

Report 259 Response to submissions on CP 140 Responsible entities: Financial requirements
Released 7 November 2011
Download the report (PDF 146KB) | Download Appendix 1- draft RG 166 (PDF 612KB) PDF download | Download Appendix 2 - draft PF 209 PDF download | Read the media release | Read the CP | View the submissions

Report 258 Response to submissions on CP 144 Giving a PDS in telephone sales of general insurance products
Released 28 October 2011
Download the report (PDF 140KB) PDF download | Read the advisory | Read the CP | View the submissions

Report 257 Response to submissions on CP 166 Market integrity rules for non-AFS licensee foreign participants and consequential amendments
Released 28 October 2011
Download the report (PDF 106KB) PDF download | Read the CP | View the submissions

Report 256 Consumer credit insurance: A review of sales practices by authorised deposit-taking institutions
Released 19 October 2011
Download the report PDF download | Read the media release

Report 255 Market assessment report: Reuters Transaction Services Limited
Released 10 October 2011
Download the report PDF download

Report 254 Response to submissions on CP 127 Schemes of arrangement: Statements under s411(17)(b)
Released 22 September 2011
Download the report PDF download | Read the advisory | Read the CP

Report 253 Market assessment report: Board of Trade of the City of Chicago Inc and Chicago Mercantile Exchange Inc
Released 20 September 2011
Read the report

Report 252 Overview of decisions on relief applications (February to May 2011)
Released 15 September 2011.
Download the report PDF download | Read the advisory

Report 251 Review of financial advice industry practice
Released 13 September 2011.
Download the report PDF download | Read the media release

Report 250 Market assessment report: London Metal Exchange Limited
Released 25 August 2011
Download the report PDF download

Report 249 Market assessment report: IMB Ltd
Released 25 August 2011
Download the report PDF download

Report 248 Market assessment report: ICE Futures Europe
Released 25 August 2011
Download the report PDF download

Report 247 Market assessment report: Eurex Frankfurt AG
Released 25 August 2011
Download the report PDF download

Report 246 Response to submissions on CP 146 OTC CFDs: Improving disclosure for retail investors
Released 12 August 2011
Download the report PDF download | Read the media release | Read the CP

Report 245 Review of general insurance claims handling and internal dispute resolution procedures
Released 10 August 2011
Download the report PDF download | Read the media release

Report 244 Response to submissions on CP 161 Proposed ASIC market integrity rules for capital and related requirements: ASX, ASX 24 and Chi-X markets
Released 1 August 2011
Download the report PDF download | View the submissions | Read the advisory | Read the CP

Report 243 ASIC supervision of markets and participants: January to June 2011
Released 13 July 2011
Download the report PDF download | Read the advisory

Report 242 Audit inspection program public report for 2009–10
Released 29 June 2011
Download the report PDF download | Read the advisory

Report 241 Overview of decisions on relief applications (October 2010 to January 2011)
Released 31 May 2011
Download the report PDF download | Read the advisory

Report 240 Compensation for retail investors: the social impact of monetary loss
Released 19 May 2011
Download the report PDF download | Read the advisory

Report 239 Market assessment report: Asia Pacific Exchange Limited
Released 9 May 2011.
Download the report PDF download

Report 238 Response to submissions on Consultation Paper 148 Proposed market integrity rules: Chi-X market
Released 29 April 2011
Download the report PDF download | Read the advisory | Read the CP

Report 237 Response to submissions on Consultation Paper 145 Australian equity market structure: Proposals
Released 29 April 2011
Download the report PDF download | View the submissions | Read the advisory | Read the CP

REP 236 Response to submissions on CP 138 Dispute resolution requirements and traditional services
Released 20 April 2011
Download the report PDF download | Read the advisory | Read the CP

REP 235 Response to submissions on CP 107 Securities lending and substantial holding disclosure
Released 15 April 2011
Download the report PDF download | Read the advisory | View the submissions | Read the CP

REP 234 Response to submissions on CP 143 Expert reports and independence of experts
Released 30 March 2011
Download the report PDF download | Read the media release | Read the CP

REP 233 Response to submissions on CP 142 Related party transactions
Released 30 March 2011
Download the report PDF download | Read the media release | Read the CP

REP 232 Market assessment report: BGC Partners (Australia) Pty Limited
Released 11 March 2011.
Download the report PDF download

REP 231 Market assessment report: Mercari Pty Limited
Released 11 March 2011.
Download the report PDF download

REP 230 Financial literacy and behavioural change
Released 15 March 2011.
Download the report PDF download | Read the media release

REP 229 Australian National Financial Literacy Strategy
Released 15 March 2011.
Download the report PDF download

REP 228 Market assessment report: Yieldbroker Pty Limited
Released 1 February 2011.
Download the report PDF download

REP 227 ASIC supervision of markets and participants: August to December 2010
Released 17 January 2011.
Download the report PDF download | Read the advisory

REP 226 Overview of decisions on relief applications (June to September 2010)
Released 18 January 2011.
Download the report PDF download | Read the advisory

2010



REP 225 Insolvency statistics: External administrators’ reports 1 July 2007–30 June 2010
Released 21 December 2010.
Download the report PDF download | Read the advisory

REP 224 Access to financial advice in Australia
Released 23 December 2010.
Read the report PDF download | Read the advisory

REP 223 Response to submissions on CP 121 Facilitating online financial services disclosures
Released 13 December 2010.
Read the report PDF download | Read the advisory | Read the CP

REP 222 Market assessment report: ASX group
Released 30 November 2010.
Read the report PDF download | Read the advisory

REP 221 Market assessment report: Bloomberg Tradebook Australia Pty Ltd
Released 30 November 2010.
Read the report PDF download

REP 220 Market assessment report: Board of Trade of the City of Chicago Inc.and Chicago Mercantile Exchange Inc.
Released 30 November 2010.
Read the report PDF download

REP 219 Market assessment report: Reuters Transaction Services Limited
Released 30 November 2010.
Read the report PDF download

REP 218 Electronic Funds Transfer Code of Conduct review: Feedback on CP 90 and final positions
Released 1 December 2010.
Read the report PDF download | Read the advisory

REP 217 Overview of decisions on relief applications (December 2009 to May 2010)
Released 17 November 2010
Download the report PDF download | Read the advisory

REP 216 Response to submissions on CP 135 Mortgage exit fees: Unconscionable fees and unfair contract terms
Released 10 November 2010
Download the report PDF download | Read the media release | Read CP 135 | Read the regulation impact statement

REP 215 Australian equity market structure
Released 4 November 2010
Download the report PDF download | Read the media release

REP 214 Review of superannuation PDSs
Released 28 October 2010
Download the report PDF download | Read the advisory

REP 213 National insolvent trading program report
Released 13 October 2010
Download the report PDF download

REP 212 Market assessment report: Eurex Frankfurt AG
Released 9 August 2010
Download the report PDF download

REP 211 Market assessment report: EBS Service Company Limited
Released 9 August 2010
Download the report PDF download

REP 210 Response to submissions on CP 124 Duty to prevent insolvent trading: Guide for directors
Released 29 July 2010
Download the report PDF download | Read CP 124 | View the submissions

REP 209 Market assessment report: London Metal Exchange Limited
Released 21 July 2010
Download the report

REP 208 Market assessment report: IMB Limited
Released 21 July 2010
Download the report

REP 207 Response to submissions on CP 136 Markets Disciplinary Panel
Released 29 July 2010
Download the report | Read CP 136

REP 206 Market assessment report: NSX Ltd group
Released 15 July 2010
Download the report

REP 205 Contracts for difference and retail investors
Released 11 July 2010
Download the report

REP 204 Response to submissions on CP 131 Proposed ASIC Market Integrity Rules: ASX and SFE markets
Released 8 July 2010
Download the report | Read CP 131

REP 203 Overview of decisions on relief applications (August to November 2009)
Released 5 July 2010
Download the report

REP 202 Response to submissions on CP 114 Client money relating to dealing in OTC derivatives
Released 11 July 2010
Download the report | Read CP 114 | View the submissions

REP 201 Review of disclosure for capital protected products and retail structured or derivative products
Released 22 July 2010
Download the report

REP 200 Response to submissions on CP 123 Debentures: Strengthening the disclosure benchmarks
Released 25 June 2010
Download the report | Read CP 123

REP 199 Market assessment report: Asia Pacific Exchange Limited
Released 3 June 2010
Download the report

REP 198 Market assessment report: Mercari Pty Limited
Released 6 May 2010
Download the report

REP 197 Response to submissions on CP 132 Trustee companies: Financial requirements and conduct obligations
Released 7 May 2010
Download the report | Read CP 132

REP 196 Response to submissions on CP 126 Facilitating debt raising
Released 11 May 2010
Download the report | Read CP 126 | View the submissions | Read the regulation impact statement

REP 195 Response to submissions on CP 112 Dispute resolution requirements for credit and margin lending
Released 7 May 2010
Download the report | Read CP 112 | View the submissions | Read the regulation impact statement

REP 194 Response to submissions on CP 120 Operators of clearing and settlement facilities
Released 20 April 2010
Read the report on submissions | Read CP 120

REP 193 Response to submissions on CP 125 Compensation requirements for credit licensees: Further consultation
Released 30 March 2010
Download the report | Read CP 125 | View the submissions

REP 192 Audit inspection program public report for 2008–09
Released 11 March 2010
Download the report

REP 191 Response to submissions on CP 115 Responsible lending
Released 26 February 2010
Download the report | Read CP 115

REP 190 Market assessment report: EBS Service Company Limited
Released 17 February 2010
Download the report

REP 189 Market assessment report: Yieldbroker Pty Limited
Released 17 February 2010
Download the report

REP 188 Market assessment report: CME Group Inc
Released 17 February 2010
Download the report

REP 187 Market assessment report: Bloomberg Tradebook Australia Pty Ltd
Released 17 February 2010
Download the report

REP 186 was not released.

REP 185 Review of term deposits
Released 1 March 2010
Download the report

REP 184 Overview of decisions on relief applications (April to July 2009)
Released 2 February 2010
Download the report

REP 183 Market assessment report: BGC Partners (Australia) Pty Limited
Released 21 January 2010
Download the report



2009



REP 182 Feedback from submissions to the Financial Ombudsman Service Limited's new Terms of Reference
Released 18 December 2009
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REP 181 Market assessment report: Reuters Transaction Services Limited
Released 14 December 2009
Download report

REP 180 Response to submissions on CP 113 Training and competence for credit licensees
Released 18 December 2009
Download the report | Read the submissions | Read CP 113

REP 179 Response to submissions on CP 111: Financial resources arrangements for credit licensees
Released 18 December 2009
Download the report | Read the submissions

REP 178 Response to submissions on CP 110 General conduct obligations of credit licensees
Released 18 December 2009
Download the report | Read the submissions

REP 177 Response to submissions on CP 109 Margin lending: Financial requirements
Released 2 December 2009
Download report | Read the submissions

REP 176 Response to submissions on CP 108 Margin lending: Training of financial advisers
Released 2 December 2009
Download report | Read the submissions

REP 175 Market assessment report: NSX Ltd group
Released 6 November 2009
Download report | Read the advisory

REP 174 Effects of the Australia–New Zealand mutual recognition regime for securities offerings
Released 23 October 2009
Download report | Read the advisory

REP 173 Debentures: Second review of disclosure to investors
Released 22 October 2009
Download the report | Read the advisory

REP 172 Market assessment report: BGC Partners (Australia) Pty Limited
Released 15 October 2009
Download the report | Read the advisory

REP 171 Market assessment report: IMB Limited
Released 7 October 2009
Download the report | Read the advisory

REP 170 Market assessment report: London Metal Exchange Limited
Released 7 October 2009
Download the report | Read the advisory

REP 169 Market assessment report: Eurex Frankfurt
Released 30 September 2009
Download the report | Read the advisory

REP 168 Market assessment report: Australian Securities Exchange group
Released 28 September 2009
Download the report | Read the advisory

REP 167 Response to submissions on CP 106 Short selling to hedge risk from market making activities
Released 28 September 2009
Download the report | Download the consultation paper | Read the advisory

REP 166 Market assessment report: Asia Pacific Exchange Limited
Released 8 September 2009
Download report | Read the advisory

REP 165 Market assessment report: Mercari Pty Limited
Released 8 September 2009
Download report | Read the advisory

REP 164 Market assessment report: Bloomberg Tradebook Australia Pty Ltd
Released 31 July 2009
Download report | Read the advisory

REP 163 Market assessment report: Yieldbroker Pty Limited
Released 31 July 2009
Download report | Read the advisory

REP 162 Overview of decisions on relief applications (December 2008 to March 2009)
Released 3 August 2009
Download report | Read the advisory

REP 161 Market assessment report: EBS Service Company Limited
Released 14 July 2009
Download report | Read the advisory

REP 160 Response to submissions on CP 105 Facilitating equity capital raising
Released 18 June 2009
Download report | Read the advisory

REP 159 Report on submissions to CP 103 Review of share purchase plan threshold
Released 18 June 2009
Download report | Read the advisory | View the submissions to CP 103 | Read CP 103

REP 158 Survey of the OTC Derivatives Market in Australia
A joint report by the Australian Prudential Regulation Authority, Australian Securities and Investments Commission and Reserve Bank of Australia
Released 22 May 2009
Download report | Read the media release

REP 157 Market assessment report: National Stock Exchange of Australia
Released 18 May 2009
Download report | Read the advisory

REP 156 Report on submissions to CP 102 - Dispute resolution
Released 18 May 2009
Download report | Read the advisory

REP 155: Debt collection practices in Australia
A joint report by the Australian Competition and Consumers Commission and the Australian Securities and Investments Commission
Released 14 May 2009
Download report | Read the ACCC media release


REP 154: Market assessment report: Asia Pacific Exchange
Released 8 May 2009
Download report | Read the advisory

REP 153: Market assessment report: Reuters Transaction Services Limited
Released 1 May 2009
Download report | Read the advisory

REP152: Helping home borrowers in financial hardship
Released 7 May 2009
Download report | Read the advisory

REP 151: Market assessment report: Bendigo Stock Exchange Limited
Released 9 April 2009
Download report | Read the advisory

REP 150: Overview of decisions on relief applications (August to November 2008)
Released 24 April 2009
Download report | Read the advisory

REP 149: Market assessment report: Mercari Pty Limited
Released 20 February 2009
Download report | Read the advisory

REP 148: Market assessment report: IMB Limited
Released 20 February 2009
Download report | Read the advisory

REP 147: Market assessment report: The London Metal Exchange Limited ARBN 120 748 021
Released 14 January 2009
Download report | Read the advisory

REP 146: Market assessment report: Eurex Frankfurt AG ARBN 100 999 764
Released 14 January 2009
Download report | Read the advisory

REP 145: Market assessment report: Board of Trade of the City of Chicago Inc. ARBN 110 594 459
Released 14 January 2009
Download report | Read the advisory

REP 144: Market assessment report: Chicago Mercantile Exchange Inc. ARBN 103 432 391
Released 14 January 2009
Download report | Read the advisory



2008



REP 143: Review of credit rating agencies and research houses
A joint report by the Treasury and the Australian Securities and Investments Commission.
Released 13 November 2008
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REP 142: Overview of decisions on relief applications (April to July 2008)
Released 31 October 2008
Download report

REP 141: Market assessment report: Bendigo Stock Exchange Limited
Released 9 April 2009
Download report | Read the advisory

REP 140: Report on submissions for CP 80 Group insurance arrangements
Released 30 September 2008
Download report | Read the advisory | Read CP 80

REP 139: Report on submissions for CP 100 Unlisted property schemes—improving disclosure for retail investors
Released 2 September 2008
Download report | Read the advisory | Read CP 100

REP 138: Report on submissions for CP 99 Mortgage schemes—improving disclosure for retail investors
Released 2 September 2008
Download report | Read the advisory | Read CP 99

REP 137 has not been released yet

REP 136: Market assessment report: Golden Circle Limited ACN 054 355 618
Released 18 August 2008
Download report

REP 135: Market Assessment Report: ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited/Sydney Futures Exchange Limited/SFE Clearing Corporation Pty Limited/Austraclear Limited
Released 14 August 2008
Download report | Read the media release

REP 134: Enhancing capital flows into and out of Australia
Released 31 July 2008
Download report | Read the media release

REP 133: Overview of decisions on relief applications (December 2007 to March 2008)
Released 18 July
Download report | Read the information release

REP 132: External Administrators: Schedule B Statistics 1 July 2004 – 30 June 2007
Released 26 June 2008
Download report | Read the media release

REP 131: Report on submissions on CP 96 Insurance requirements for registered liquidators
Released 26 June 2008
Download report | Read the information release | Read CP 96

REP 130: Audit inspection program public report for 2006-07
Released 12 June 2008
Download report | Read the media release

REP 129: Review of s439A reports for voluntary administrations
Released 13 June 2008
Download report | Read the media release

REP 128: Report on submissions to CP 91 Non-traditional rights issues
Released 15 May 2008
Download report | Read the information release | Read CP 91

REP 127 Debentures - improving disclosure for retail investors
Released 23 April 2008
Download report | Read the media release

REP 126 Understanding investors in the unlisted, unrated debenture (UUD) market
Released 23 April 2008
Download report | Read the media release

REP 125 Review of mortgage entry and exit fees
Released 7 April 2008
Download report | Read the Treasurer's media release

REP 124 Overview of decisions on relief applications (September to November 2007)
Released 1 April 2008
Download report | Read the information release

REP 123 A Report on Costs of Financial Services 2007 (Prepared for ASIC by Chant Link & Associates).
Released 26 March 2008
Download report | Read the information release

REP 122 has not been released yet

REP 121 Australian investors a glance
Released 24 April 2008
Download report | Read the media release

REP 120 Market assessment report: BGC Partners Australia Pty Limited
Released 14 March 2008
Download report | Read the information release


REP 119 Protecting wealth in the family home
Released 13 March 2008
Download report | Read the media release

REP 118 Market assessment report: National Stock Exchange of Australia Limited
Released 6 March 2008
Download report | Read the information release

REP 117 Market assessment report: Golden Circle Limited
Released 6 March 2008
Download report | Read the information release

REP 116 Market assessment report: Australian Pacific Exchange Limited
Released 6 March 2008
Download report | Read the information release

REP 115 Market assessment report: Bloomberg Tradebook Australia Pty Ltd
Released 6 March 2008
Download report | Read the information release

REP 114 Market assessment report: Yieldbroker Pty Limited
Released 6 March 2008
Download report | Read the information release

REP 103 Market assessment report: Board of Trade of the City of Chicago Inc
Released 6 March 2008
Download report | Read the information release

REP 102 Market assessment report: Chicago Mercantile Exchange Inc
Released 6 March 2008
Download report | Read the information release

REP 101 Market assessment report: Reuters Transaction Services Limited
Released 6 March 2008
Download report | Read the information release



2007



REP 113 Report on submissions for CP 94 Debenture advertising
Released 19 December 2007
Download report | Read the media release | Read CP 94 | Download RG 156

REP 112 Report on submissions to CP 87 Compensation and insurance arrangements for AFS licensees
Released 27 November 2007
Download report | Read the information release | Read CP 87 | Download RG 126

REP 111 Overview of decisions on relief applications (June to August 2007)
Released 23 November 2007
Download report | Read the information release

REP 110 Report on submissions for CP 88 Reviewing and updating RG 146:Training of financial product advisers
Released 22 November 2007
Download report | Read the information release | Read CP 88 | Download RG 146

REP 109 'All we have is this house' Report on consumer experiences with reverse mortgages
Released 21 November 2007
Download report | Read the media release

REP 108 Report on submissions for CP 89 unlisted, unrated debentures
Released 31 October 2007
Download report | Read the media release | Read CP 89


REP 107 Compensation arrangements for financial services licensees: research into the professional indemnity insurance market
Prepared by Melzan Pty Ltd. Released December 2006 with Consultation paper 87
Download report | Read CP 87 | Read the information release

REP 106 Economic assessment of competition for market services
Prepared by CRA International. Released July 2007 with Consultation paper 86
Download report | Read CP 86 | Read the information release

REP 105 Market assessment report: Mercari Pty Limited
Released October 2007
Download report | Read the information release

REP 104 Market assessment report: EBS Service Company Limited
Released October 2007
Download report | Read the information release

For REP 101, REP 102 and REP 103 see 2008

REP 100 Market assessment report: IMBL Limited (September 2007)
Released September 2007
Download report

REP 99 Market assessment report: Sydney Futures Exchange Limited/SFE Clearing Corporation Pty Ltd/Austraclear Limited (September 2007)
Released November 2007
Download report | Read the media release

REP 98 Market assessment report: Golden Circle Limited (August 2007)
Released October 2007
Download report | Read the information release

REP 97 Overview of decisions on relief applications (January to May 2007)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its exemption and modification powers. Released September 2007.
Download report

REP 96 Market assessment report: Eurex Frankfurt AG (June 2007)
Released June 2007
Download report

REP 95 Overview of decisions on relief applications (October to December 2006)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its exemption and modification powers. Released May 2007.
Download report

REP 94 Market assessment report: ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (May 2007)
Released May 2007.
Download the report

REP 93 Market assessment report: Chicago Mercantile Exchange Inc (March 2007)
Released March 2007.
Download the report

REP 92 Market assessment report: Board of Trade of the City of Chicago Inc (February 2007)
Released March 2007.
Download the report

REP 91 Market assessment report: ICAP Europe Limited (February 2007)
Released February 2007.
Download the report

REP 90 Market assessment report: Australian Pacific Exchange Limited (February 2007)
Released March 2007.
Download the report

REP 89 Making home insurance better
Examines what steps insurance companies have taken to address the problem of home underinsurance since the 2005 report. Released January 2007.
Download report | Read the media release

REP 88 Overview of decisions on relief applications (July to September 2006)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its exemption and modification powers. Released January 2007.
Download report



2006



REP 87 Market assessment report: Yieldbroker Pty Limited (November 2006)
Released November 2006.
Download the report

REP 86 Market assessment report: IMB Ltd (October 2006)
Released November 2006.
Download the report

REP 85 Market assessment report: Reuters Transaction Services Limited (September 2006)
Released November 2006.
Download the report

REP 84 Monitoring superannuation fees and costs (October 2005 to June 2006)
Released November 2006.
Download the report

REP 83 Small and mid-cap miners study
Released October 2006.
Download report | Read the media release

REP 82 Market assessment report: Stock Exchange of Newcastle Limited (September 2006)
Released September 2006.
Download the report

REP 81 Overview of decisions on relief applications (April to June 2006)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its exemption and modification powers. This report has been expanded to include applications for relief from the financial reporting, takeovers, and fundraising provisions, as well as the financial services and managed investments provisions. Released September 2006.
Download report

REP 80 Market assessment report: Mercari Pty Limited (August 2006)
Released June 2006.
Download the report

REP 79 Market assessment report: Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (July 2006)
Released August 2006.
Download the report

REP 78 Audit inspection program
Second report to the Financial Reporting Council on the results of ASIC's on-site inspections of audit firms. Released August 2006.
Download report

REP 77 Overview of decisions on relief applications (January to March 2006)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its exemption and modification powers. This report has been expanded to include applications for relief from the financial reporting, takeovers, and fundraising provisions, as well as the financial services and managed investments provisions. Released July 2006.
Download report

REP 76 Market assessment report: SFE Clearing Corporation Pty Limited/Austraclear Limited (May 2006)
Released June 2006.
Download the report

REP 75 Market assessment report: Sydney Futures Exchange Limited (May 2006)
Released June 2006.
Download the report

REP 74 Market assessment report: Eurex Frankfurt AG (May 2006)
Released June 2006.
Download the report

REP 73 Market assessment report: EBS Service Company Limited (May 2006)
Released May 2006.
Download the report

REP 72 Market assessment report: Chicago Mercantile Exchange Inc (May 2006)
Released May 2006.
Download the report

REP 71 Overview of decisions on relief applications from financial service providers (September to December 2005)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its powers to grant relief from the financial services and managed investments provisions. Released April 2006.

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REP 70 Market assessment report: ICAP Europe Limited (February 2006)
Released February 2006.
Download the report

REP 69 Shadow shopping survey on superannuation advice
The purpose of the survey was to assess whether the advice given to consumers after the introduction of Super Choice complied with the law. Released April 2006.
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REP 68 Market assessment report: Australian Stock Exchange Limited (February 2006)
Released March 2006.
Download the report

REP 67 Market assessment report: SFE Clearing Corporation Pty Limited/Austraclear Limited (January 2006)
Released January 2006.
Download the report

REP 66 Monitoring advertising in superannuation
A report about media advertising of superannuation. Statistics from our monitoring by month, medium and sector, July 2004 to November 2005. Released January 2006.
Download report



2005



REP 65 Overview of decisions on relief applications from financial service providers (May to August 2005)
Provides an overview of the situations where ASIC has exercised, or refused to exercise, its to grant relief from the financial services and managed investments provisions. Released December 2005.

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REP 64 Market assessment report: Reuters Transaction Services Limited (November 2005)
Released December 2005.
Download the report

REP 63 Compliance with the EFT Code of Conduct (April 2003 to March 2004)
Released December 2005.
Download the report

REP 62 Market assessment report: Sydney Futures Exchange Limited (November 2005)
Released December 2005.
Download the report

REP 61 Market assessment report: Australian Pacific Exchange Limited (November 2005)
Released November 2005.
Download the report

REP 60 Market assessment report: Yieldbroker Pty Limited (October 2005)
Released November 2005.
Download the report

REP 59 Equity release products report
A report into equity release products such as reverse mortgages, home reversion schemes, and shared appreciation mortgages. Released November 2005.
Download report | Executive summary to the report | Read the media release

REP 58 Report on the auditor inspection program
We have released the findings of our first year of on-site inspections of audit firms since the enactment of new regulatory requirements. Released November 2005.
Download report | Read the media release

REP 57 Market assessment report: Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (September 2005)
Released October 2005.
Download the report

REP 56 Market assessment report: SFE Clearing Corporation Pty Limited (August 2005)
Released October 2005.
Download the report

REP 55 Collecting statute-barred debts
A report into debt collection industry practices in relation to old debts where the legal limitation period has expired. Released September 2005.
Download report | Read the media release

REP 54 Getting home insurance right - ASIC's report on home building underinsurance
A report examining the underinsurance of home buildings in Australia. Released September 2005.
Download report | Download a copy of the survey form | Read the media release

REP 53 Good transaction fee disclosure
A report on disclosure of transaction fees by banks, building societies and credit unions. Released 7 September 2005.
Download report | Read the media release

REP 52 Market assessment report: Chicago Mercantile Exchange Inc (July 2005)
Released August 2005.
Download the report

REP 51 Report to the Parliamentary Joint Committee on late 2004 (and early 2005) superannuation switching advice surveillance
This report provides more detail on the results of our super switching surveillance, as requested by the Parliamentary Joint Committee on Corporations and Financial Services. Released November 2005.
Download report

REP 50 Superannuation switching surveillance
A report on our super switching surveillance conducted in late 2004 and early 2005. Released August 2005.
Download report | Read the media release

REP 49 Overview of decisions on relief applications from financial service providers (January to April 2005)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its powers to grant relief from the financial services and managed investments provisions. Released July 2005.

Download reportDownload report

REP 48 Market assessment report: Eurex Frankfurt AG (July 2005)
Released July 2005.
Download the report

REP 47 Market assessment report: Bendigo Stock Exchange Limited (July 2005)
Released July 2005.
Download the report

REP 46 Market assessment report: Australian Stock Exchange Limited (June 2005)
Released July 2005.
Download the report

REP 45 Market assessment report: Yieldbroker Pty Limited (June 2005)
Released July 2005.
Download the report

REP 44 Market assessment report: ICAP Europe Limited (June 2005)
Released July 2005.
Download the report

REP 43 Market assessment report: Golden Circle Limited (June 2005)
Released July 2005.
Download the report

REP 42 Insurance broker remuneration arrangements
Released June 2005.
Download report | Read the media release

REP 41 Market assessment report: Stock Exchange of Newcastle Limited (June 2005)
Released June 2005.
Download the report

REP 40 Market assessment report: Sydney Futures Exchange Limited (April 2005)
Released June 2005.
Download the report

REP 39 Overview of decisions on relief applications from financial service providers (August to December 2004)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its powers to grant relief from the financial services and managed investments provisions. Released May 2005.
Download report

REP 38 High-yield debentures – ASIC surveillance report
Results of an intensive surveillance of high-yield debentures that was conducted in late 2004. Released February 2005.
Download report | Read the media release



2004



REP 37 ASIC verification visit program: Key findings
Released September 2004.
Download report | Read the information release

REP 36 Market assessment report: Stock Exchange of Newcastle Limited (December 2004)
Released December 2004.
Download the report

REP 35 Market assessment report: Bendigo Stock Exchange Limited (November 2004)
Released December 2004.
Download the report

REP 34 Overview of decisions on relief applications from financial service providers (October 2003 to August 2004)
Provides an overview of situations where ASIC has exercised, or refused to exercise, its powers to grant relief from the financial services and managed investments provisions. Released December 2004.

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REP 33 Market assessment report: Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (November 2004)
Released November 2004.
Download the report

REP 32 Market assessment report: Australian Stock Exchange Limited/ ASX Futures Exchange Limited (August 2004)
Released September 2004.
Download the report

REP 31 Consumer decision making at retirement
This report reveals that there is a low level of planning by retirees before they retire. This was due, in part, to a general lack of interest by people in superannuation until they needed to make a decision.
Download the report

REP 30 Disclosure of soft dollar benefits
Released June 2004.
Download report | Read the media release

REP 29 Preferential remuneration project
Released April 2004.
Download report | Read the media release

REP 28 Eligible rollover fund disclosure campaign
Released January 2004.
Download report | Read the media release



2003



REP 27 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct (April 2002 to March 2003)
Released December 2003.
Download report

REP 26 Market assessment report: Sydney Futures Exchange Limited / SFE Corporation Limited (November 2003)
Released November 2003.
Download report

REP 25 Market assessment report: Australian Stock Exchange Limited/ ASX Futures Exchange Limited (June 2003)
Released September 2003.
Download report

REP 24 Research analyst independence
Released August 2003.
Download report | Read the media release

REP 23 A model for fee disclosure in product disclosure statements for investment products
Released August 2003, updated June 2004.
Download report | Read the media releases 03-243 and 04-192

REP 22 A review of the research on the past performance of managed funds
Released September 2002, revised June 2003.
Download report | Read the media release

REP 21 Report on the review of 2001 & 2002 annual financial reports of South Australian securities dealers
Released May 2003.
Download report | Read the media release

REP 20 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct (April 2001 to March 2002)
Released March 2003.
Download report

REP 19 A report to ASIC on the finance and mortgage broking industry
Prepared by the Consumer Credit Legal Centre NSW (Inc). Released 26 March 2003.
Download report | Read the media release

REP 18 Survey on the quality of financial planning advice
An ASIC/ACA survey. Released February 2003.
Download report | Read the media release

REP 17 Compliance with advice and disclosure obligations: Report on primary production schemes
Released February 2003.
Download report | Read the media release



2002



REP 16 Disclosure of fees and charges in managed investments, review of current Australian requirements and options for reform
A report prepared for ASIC by Professor Ian Ramsay about the disclosure of fees and charges for investment products. Released September 2002.
Download report | Download the executive summary | Read the media release

REP 15 Hook, line & sinker: Who takes the bait in cold calling scams?
A more detailed report about the experiences of Australians who were cold called based on research ASIC undertook. Released June 2002.
Download report

REP 14 International cold calling investment scams
An ASIC report into international telemarketing scams. Released June 2002.
Download report

REP 13 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct (April 2000 to March 2001)
Released March 2002.
Download report

REP 12 Book up: Some consumer problems
A report prepared for ASIC by Mr Gordon Renouf about some of the problems that arise for consumers using the "book up" system. "Book up" is a form of store credit which is common in regional Australia. Released March 2002.
Download report



2001



REP 11 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct (April 1999 to March 2000)
Released February 2001.
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REP 10 Final report of the national life insurance disability campaign
Released February 2001.
Download report



2000



REP 9 Online trading survey report
Released August 2000.
Download report | Read the media release

REP 8 Inquiry into fees on electronic and telephone banking
Our submission to the Parliamentary Joint Committee on Corporations and Securities. Released June 2000.
Download report | Read the executive summary

REP 7 Consumer understanding of flood insurance
Released June 2000.
Download report

REP 5 / REP 6 Review of the financial advising activities of real estate agents
Released February 2000.
Download a copy of the interim report and technical paper | Read about the review

REP 4 Compliance with the Payment System Codes of Practice and the EFT Code of Conduct (April 1998 to March 1999)
Released January 2000.
Download report



1999



REP 3 Stocktake of Consumer Education in Financial Services
Research and reports by the Financial Services Consumer Policy Centre for ASIC. Released July 1999.
Download report



1998



REP 1 / REP 2 Reports of investigations
Report of the Special Investigation into Spedley Securities Limited and Report of the Investigation into Burns Philp and Company Limited. Released December 1998.
Download reports


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