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Consultation papers



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


Papers currently open for public comment

Previous papers listed by number and date:
2013, 2012, 2011, 2010, 2009, 2008, 2007, 2006, 2005, 2004, 2003, 2002, 2001, 2000, 1999, 1998

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


Papers currently open for public comment



CP 219 Keeping superannuation websites up to date
Released 28 November 2013. Comments close 3 February 2014.
Download CP 219 (PDF 201 KB)

CP 218 Employee incentive schemes
Released 14 November 2013. Comments close 31 January 2014.
Download CP 218 (PDF 650 KB)
- Attachment to CP 218: draft updated Regulatory Guide 49 (PDF 283 KB) | Read the media release


Previous papers listed by number and date




2013



CP 217 Presentation of financial statements by stapled entities
Released 11 October 2013. Comments closed 30 November 2013.
Download CP 217 (PDF 138 KB) | Read the media release

CP 216 Advice on self-managed superannuation funds: Specific disclosure requirements and SMSF costs
Released 16 September 2013. Comments closed 11 November 2013.
Download CP 216 (PDF 307 KB)
Attachment to CP 216: Costs of operating SMSFs (PDF 520 KB) | Read the media release | Read the submissions

CP 215 Assessment and approval of training courses for financial product advisers: Update to RG 146
Released 19 August 2013. Comments closed 30 September 2013.
Download CP 215 (PDF 212 KB) | Read the media release | View the submissions

CP 214 Updated record-keeping obligations for AFS licensees
Released 31 July 2013. Comments closed 23 October 2013.
Download CP 214 (PDF 279 KB) | Read the media release

CP 213 Greyhound racing and breeding syndicate schemes
Released 23 July 2013. Comments closed 27 August 2013.
Download CP 213 (PDF 240 KB) | Read the media release

CP 212 Licensing: Training of financial product advisers – Updates to RG 146
Released 24 June 2013. Comments closed 30 September 2013.
Download CP 212 (PDF 632 KB) | Read the media release | View the submissions

CP 211 Facilitating electronic offers of securities: Update to RG 107
Released 17 June 2013. Comments closed 12 August 2013.
Download CP 211 (PDF 266 KB) | Read the media release
- Attachment to CP 211: Draft RG 107 (PDF 313 KB)
View the submissions | Read the report on submisions

CP 210 Demutualisation approval procedure rules: Minimum member participation requirement
Released 11 June 2013. Comments closed 5 July 2013.
Download CP 210 (PDF 135 KB) | Read the media release | Read the report on submissions | View the submission

CP 209 Resignation, removal and replacement of auditors: Update to RG 26
Released 30 May 2013. Comments closed 30 August 2013.
Download CP 209 (PDF 483 KB) | Read the media release

CP 208 ASX Managed Funds Service: Relief from the application form requirement
Released 30 May 2013. Comments closed 11 July 2013.
Download CP 208 (PDF 293 KB) | Read the media release
- Attachment 1 to CP 208: Rice Warner Actuaries report - Managed Funds Transaction Cost Research (PDF 399 KB)
- Attachment 2 to CP 208: Rice Warner Actuaries supplementary report - Managed Funds Transaction Cost Research (PDF 403 KB)
Read the report on submissions | View the submissions

CP 207 Charitable investment fundraisers
Released 20 May 2013. Comments closed 15 July 2013.
Download CP 207 (PDF 438 KB) | Read the media release

CP 206 Shaping a National Financial Literacy Strategy for 2014–16
Released 30 April 2013. Comments closed 30 June 2013.
Download CP 206 (PDF 1,039 KB)
Read the background report | Read the media release

CP 205 Derivative transaction reporting
Released 28 March 2013. Comments closed 1 May 2013.
Download the paper (PDF 291 KB)
- Attachment to CP 205: Draft ASIC Derivative Transaction Rules (Reporting) 2013 (PDF 320 KB)
Read the media release | View the submissions | Read the report on submissions

CP 204 Risk management systems of responsible entities
Released 21 March 2013. Comments closed 3 May 2013.
Download the paper (PDF 436 KB) | Read the media release

CP 203 Age pension estimates in superannuation forecasts: Update to RG 229
Released 20 March 2013. Comments closed 19 April 2013.
Download the paper (PDF 424 KB) | Read the media release

CP 202 Dark liquidity and high-frequency trading: Proposals
Released 18 March 2013. Comments closed 10 May 2013.
Download the paper (PDF 460 KB) | Read the media release
- Attachment to CP 202: Proposed amendments to ASIC market integrity rules: Dark liquidity and high-frequency trading (PDF 312 KB)
View the submissions


CP 201 Derivative trade repositories
Released 15 March 2013. Comments closed 12 April 2013.
Download the paper (PDF 370 KB) | Read the media release
- Attachment 1 to CP 201: Draft derivative trade repository rules (PDF 166 KB)
- Attachment 2 to CP 201: Draft regulatory guide (PDF 417 KB)
View the submissions | Read the report on submissions | Download RG 249


CP 200 Managed discretionary accounts: Updates to RG 179
Released 8 March 2013. Comments closed 19 April 2013.
Download the paper (PDF 494 KB) | Read the media release | View the submissions

CP 199 Debentures: Reform to strengthen regulation
Released 13 February 2013. Comments closed 28 March 2013.
Download the paper (PDF 328 KB) | Read the media release

CP 198 Review of the effectiveness of an online database for small amount lenders
Released 25 January 2013. Comments closed 21 February 2013.
Download the paper (PDF 161 KB) | Read the media release

2012



CP 197 Holding scheme property and other assets
Released 20 December 2012. Comments closed 28 February 2013.
Download the paper (PDF 511 KB) | Read the media release | View the submissions | Read the report on submissions

CP 196 Periodic statements for quoted and listed managed investment products and relief for AQUA products
Released 17 December 2012. Comments closed 10 February 2013.
Download the paper (PDF 367 KB) | Read the media release | View the submissions | View the report on submissions


CP 195 Proposed amendments to ASIC market integrity rules: ASX 24 and FEX markets
Released 15 November 2012. Comments closed 21 December 2012.
Download the paper (PDF 281 KB)
- Attachment 1 to CP 195: (ASX 24) (PDF 329 KB)
- Attachment 2 to CP 195: (FEX) (PDF 1.8MB) | Read the media release | View the submissions | View the report on submissions


CP 194 Financial requirements for custodial or depository service providers
Released 14 November 2012. Comments closed 14 January 2013.
Download the paper (PDF 265 KB) | Read the media release | View the submissions | View the report on submissions


CP 193 Takeovers, compulsory acquisition and substantial holdings: Update of ASIC guidance
Released 14 November 2012. Comments closed 22 February 2013.
Download the paper (PDF 382 KB)
- Attachment 1 to CP 193: Draft RG Relevant interests and substantial holding notices (PDF 617 KB)
- Attachment 2 to CP 193: Draft RG Takeovers: Exceptions to the general prohibition (PDF 416 KB)
- Attachment 3 to CP 193: Draft RG Takeover bids (PDF 869 KB)
- Attachment 4 to CP 193: Draft RG Compulsory acquisitions and buyouts (PDF 353 KB)
Read the media release | View the submissions | Read the report on submissions


CP 192 Competency standards for auditors of self-managed superannuation funds
Released 14 November 2012. Comments closed 30 November 2012.
Download the paper (PDF 141 KB) | Read the media release

CP 191 Future of Financial Advice: Approval of codes of conduct for exemption from opt-in requirement
Released 23 October 2012. Comments closed 4 December 2012.
Download the paper (PDF 264 KB) | Read the media release | View the submissions | Read the report on submissions

CP 190 Small business lending complaints: Update to RG 139
Released 19 October 2012. Comments closed 10 December 2012.
Download the paper (PDF 148 KB) | Read the media release | View the submissions

CP 189 Future of Financial Advice: Conflicted remuneration
Released 28 September 2012. Comments closed 9 November 2012
Download the paper (PDF 593KB) | Read the media release | View the submissions | Read the report on submissions

CP 188 Managed investments: Constitutions – Updates to RG 134
Released 18 September 2012. Comments closed 13 November 2012
Download the paper (PDF 665KB) | Read the media release | View the submissions | Read the report on submissions


CP 187 Effective disclosure in an operating and financial review
Released 17 September 2012. Comments closed 23 November 2012
Download the paper (PDF 645KB) | Read the media release | View the submissions | Read the report on submissions

CP 186 Clearing and settlement facilities: International principles and cross-border policy (update to RG 211)
Released 11 September 2012. Comments close 19 October 2012
Download the paper (PDF 301KB) | Attachment to CP 186 (Draft RG 211) | Read the media release

CP 185 Litigation schemes and proof of debt schemes: Managing conflicts of interest
Released 17 August 2012. Comments closed 21 September 2012.
Download the paper (PDF 257 KB) | Read the media release | View the submissions | Read the report about submissions

CP 184 Australian market structure: Draft market integrity rules and guidance on automated trading
Released 13 August 2012. Comments closed 14 September 2012.
Download the paper (PDF 696 KB) | Read the media release | View the submissions | Read the report on submissions

CP 183 Giving information, general advice and scaled advice
Released 9 August 2012. Comments closed 20 September 2012.
Download the paper (PDF 869 KB) | Read the media release | View the submissions | Read the report on submissions

CP 182 Future of Financial Advice: Best interests duty and related obligations—Update to RG 175
Released 9 August 2012. Comments closed 20 September 2012.
Download the paper (PDF 505 KB) | Read the media release | View the submissions | Read the report on submissions

CP 181 Retail trading in Commonwealth Government Securities
Released 20 July 2012. Comments closed 31 August 2012.
Download the paper (PDF 368 KB) | Read the media release
- Attachment to CP 181: draft Market Integrity Rules (PDF 532 KB)
View the submissions | Read the report on submissions

CP 180 ASIC's power to wind up abandoned companies
Released 12 July 2012. Comments closed 10 August 2012.
Download the paper (PDF 131 KB) | Read the media release | View the submissions | Read the report on submissions

CP 179 Australian market structure: Draft market integrity rules and guidance
Released 28 June 2012. Comments closed 6 August 2012.
Download the paper (PDF 320 KB) | Read the media release
- Attachment 1 to CP 179: draft Market Integrity Rules (PDF 693 KB)
- Attachment 2 to CP 179: Draft amended RG 223 (PDF 1,050 KB)
- Attachment 3 to CP 179: Draft addendum to RG 172 (PDF 180 KB)
View the submissions | View CP 168 (earlier consultation) | View CP 145 (earlier consultation)

CP 178 Advertising credit products and credit services: Additional good practice guidance
Released 5 June 2012. Comments closed 6 August 2012.
Download the paper (PDF 976 KB) | Read the advisory | View the submissions

CP 177 Electricity derivative market participants: Financial requirements
Released 4 May 2012. Comments closed 29 June 2012.
Download the paper (PDF 297 KB) | Read the advisory | View the submissions | View current RG 166

CP 176 Review of ASIC policy on platforms: Update to RG 148
Released 13 March 2012. Comments closed 20 April 2012.
Download the paper (PDF 361 KB) | Read the advisory | View current RG 148 | View the submissions | View the report on submissions

CP 175 Carbon markets: Training and financial requirements
Released 9 March 2012. Comments closed 10 April 2012.
Download the paper (PDF 197 KB) | Read the advisory | View the submissions | Read the report on submissions | View current RG 146

CP 174 Hedge funds: Improving disclosure — Further consultation
Released 23 February 2012. Comments closed 19 April 2012. Draft RG included in CP.
Download the paper (PDF 325 KB) | Read the media release | View the submissions | View CP 147 (earlier consultation)

CP 173 Trustee companies: Transfer determinations bv ASIC
Released 24 January 2012. Comments close 6 March 2012.
Download the paper (PDF 314 KB) | Read the advisory | View current RG 237


2011



CP 172 Review of EDR jurisdiction over complaints when members commence debt recovery legal proceedings
Released 2 December. Comments closed 27 February 2012. Draft RG included in CP.
Download the paper (PDF 281 KB) | Read the advisory | View the submissions | View current RG 139

CP 171 Strengthening the regulation of research report providers (including research houses)
Released 16 November. Comments closed 3 February 2012.
Download the paper (PDF 413 KB) | Read the media release | View the submissions | Read the report on submissions | View current RG 79

CP 170 Downstream acquisitions: Update to RG 71
Released 11 November. Comments closed 16 January 2012.
Download the paper | Read the media advisory | Read the report on submissions | View current RG 71

CP 169 Term deposits that are only breakable on 31 days’ notice: Proposals for relief
Released 4 November. Comments closed 23 December 2011.
Download the paper | Read the media advisory

CP 168 Australian equity market structure: Further proposals
Released 20 October. Comments closed 10 February 2012 (extended from 20 January).
Download the paper | Download the draft market integrity rules | Read the media advisory | View the submissions | Read the report on submissions | View CP 145 (earlier consultation) | View market integrity rules

CP 167 Advertising financial products and advice services: Good practice guidance
Released 30 August 2011. Comments closed 25 October 2011.
Download the paper | Read the media release | Read the report on submissions | View submissions | View current RG 234

CP 166 Market integrity rules: non-AFS licensee foreign participants and consequential amendments
Released 17 August 2011. Comments closed 9 September 2011.
Download the paper | Read the media release | View the report on submissions | View submissions | View market integrity rules

CP 165 Credit assistance for home loans: Competence and training requirements
Released 5 August 2011. Comments closed 16 September 2011.
Download the paper | Read the media release | View the submissions | View the report on submissions
| View current RG 206

CP 164 Additional guidance on how to scale advice
Released 28 July 2011. Comments closed 8 September 2011.
Download the paper | Read the advisory | View the submissions

CP 163 Unlisted property schemes: Update to RG 46
Released 12 July 2011. Comments closed 6 September 2011.
Download the paper | Read the advisory | View the report on submissions
| View current RG 46

CP 162 Indirect self-acquisition by investment funds: Further consultation—Employee share schemes
Released 16 June 2011. Comments closed 14 July 2011.
Download the paper | Read the advisory | Read the report on submissions | View the submission | View CP 137 (earlier consultation) | View current RG 233

CP 161 Proposed ASIC market integrity rules for capital and related requirements: ASX, ASX 24 and Chi-X markets
Released 3 June 2011. Comments closed 30 June 2011.
Download the paper | Read the advisory | Read the report on submissions | View the submissions | View market integrity rules

CP 160 Credit rating agencies: IOSCO Code Annual Compliance Report
Released 1 June 2011. Comments closed 13 July 2011.
Download the paper | Read the advisory | Read the report on submissions | View the submissions | View INFO 147

CP 159 Acquisitions approved by members: update to RG 74
Released 26 May 2011. Comments closed 1 August 2011.
Download the paper | Read the advisory | View the report on submissions | View non-confidential submissions
| View current RG 74

CP 158 Redrafting the Electronic Funds Transfer Code of Conduct
Released 20 May 2011. Comments closed 17 June 2011. Draft ePayments Code included in CP.
Download the paper | View the submissions | View current ePayments Code

CP 157 Proposed ASIC market integrity rules: FEX market
Released 12 May 2011. Comments closed 9 June 2011.
Download the paper | Read the advisory

CP 156 Retail OTC derivative issuers: Financial requirements
Released 9 May 2011. Comments closed 4 July 2011.
Download the paper | Read the media release | View the submissions | Read the report on submissions

CP 155 Prospectus disclosure: Improving disclosure for retail investors
Released 12 April 2011. Comments closed 7 June 2011.
Download the paper | Read the media release | View the report on submissions | View the submissions | View [CO 11-1140]

CP 154 Infrastructure entities: improving disclosure to retail investors – further consultation
Released 8 April 2011. Comments closed 6 May 2011.
Download the paper | Read the media release | View the submissions | Read the report on submissions | View CP 134 (earlier consultation) | View current RG 231

CP 153 Licensing: Training and assessment framework for financial advisers
Released 6 April 2011. Comments closed 1 June 2011.
Download the paper | Read the media release | View the submissions

CP 152 ASIC’s conversion of ASX and SFE guidance: General operational obligations
Released 28 March 2011. Comments closed 13 May 2011.
Download the paper | Read the advisory

CP 151 Debt securities: Modifying the naming provisions and advertising requirements
Released 25 March 2011. Comments closed 6 May 2011.
Download the paper | Read the advisory | Advisory about second round of consultation | View the submissions

CP 150 Disclosing financial information other than in accordance with accounting standard
Released 24 March 2011. Comments closed 12 May 2011.
Download the paper | Read the advisory | View the submissions | View the report on submissions
| View current RG 230

CP 149 Application for an Australian market licence - Financial and Energy Exchange Limited
Released 7 March 2011. Comments closed 18 April 2011.
Download the paper | Read the advisory

CP 148 Proposed market integrity rules: Chi-X market
Released 4 March 2011. Comments closed 25 March 2011.
Download the paper | Read the advisory | View market integrity rules | View market integrity rules

CP 147 Hedge funds: Improving Disclosure for retail investors
Released 24 February 2011. Comments closed 21 April 2011.
Download the paper | Read the advisory | View the submissions | View CP 174 (later consultation)


2010



CP 146 Over-the-counter contracts for difference: Improving disclosure for retail investors
Released 17 November 2010. Comments closed 21 December 2010.
Download the paper | Read the media release | View the report on submissions | View the submissions | View current RG 227

CP 145 Australian equity market structure: Proposals
Release 4 November 2010. Comments closed 21 January 2011.
Download the paper | Read the media release | View the submissions | View the report on submissions | View market integrity rules

CP 144 Giving a PDS in telephone sales of general insurance products
Released 28 October 2010. Comments closed 9 December 2010.
Download the paper | Read the advisory | Read the report on submissions | View the submissions | View [CO 11-842]

CP 143 Expert reports and independence of experts: Updates to RG 111 and RG 112
Released 18 October 2010. Comments closed 17 December 2010.
Download the paper | Read the advisory | Read the report on submissions | View the submissions | View current RG 111 | View current RG 112

CP 142 Related party transactions
Released 18 October 2010. Comments closed 17 December 2010.
Download the paper | Read the advisory |Read the report on submissions | View the submissions | View current RG 76 | View current RG 111

CP 141 Mortgage schemes: Strengthening the disclosure benchmarks
Released 6 October 2010. Comments closed 26 November 2010.
Download the paper | Read the advisory | View the report on submissions

CP 140 Responsible entities: Financial requirements
Released 30 September 2010. Comments closed 15 November 2010.
Download the paper | Read the advisory | Read the report on submissions | View the submissions | View current RG 166

CP 139 Compensation and insurance arrangements for trustee companies providing traditional services
Released 23 September 2010. Comments closed 18 October 2010.
Download the paper | Read the advisory | View the submission

CP 138 Dispute resolution requirements for trustee companies providing traditional services
Released 17 September 2010 . Comments closed 11 November 2010.
Download the paper | Read the advisory | View the submissions

CP 137 Indirect self-acquisition by investment funds: Further consultation
Released 18 June 2010. Comments closed 30 July 2010.
Download the paper | Read the report on submissions | View the submissions | View CP 1 (earlier consultation) | See also CP 162 | View current RG 233

CP 136 Markets Disciplinary Panel
Released 26 May 2010. Comments closed 21 June 2010.
Download the paper | Read the advisory | Read the report on submissions | View current RG 216

CP 135 Mortgage early exit fees: Unconscionable fees and unfair contract terms
Released 27 June 2010. Comments closed 9 August 2010.
Download the paper | View the submissions

CP 134 Infrastructure entities: Improving disclosure for retail investors
Released 19 April 2010. Comments closed 30 June 2010.
Download the paper | Read the report on submissions | View the submissions | See also CP 154 | View current RG 231

CP 133 Agribusiness managed investment schemes: Improving disclosure for retail investors
Released 8 April 2010. Comments closed 31 May 2010.
Download the paper | Read the report on submissions | View the submissions | View current RG 232

CP 132 Trustee companies: Financial requirements and conduct obligations
Released 15 March 2010. Comments closed 7 April 2010.
Download the paper | Read the report on submissions | Read the advisory | Read the advisory | View INFO 106

CP 131 Proposed ASIC Market Integrity Rules–ASX and SFE+Markets
Released 26 February 2010. Comments closed 26 March 2010.
Download the paper | Read the advisory | View market integrity rules

CP 130 - not released.

CP 129 Non-standard margin lending facilities: Improving disclosure for retail clients
Released 21 December 2009. Comments closed 26 February 2010.
Download the paper | Read the advisory | View current RG 219


2009



CP 128 Handling confidential information
Released 21 December 2009. Comments closed 21 February 2010.
Download the paper | Read the advisory

CP 127 Schemes of arrangement: Statements under s411(17)(b)
Released 11 December 2009. Comments closed 29 March 2010.
Download the paper | Read the advisory | Read the report on submissions | View the submissions

CP 126 Facilitating debt raising
Released 7 December 2009. Comments closed 19 February 2009.
Download the paper | Read the advisory | Read the report on submissions | View the submissions

CP 125 Compensation requirements for credit licensees: Further consultation
Released 23 November 2009. Comments closed 18 December 2009.
Download the paper | Read the advisory | View the submissions

CP 124 Directors’ duty to prevent insolvent trading: Guide for directors
Released 24 November 2009. Comments closed 22 January 2010.
Download the paper | Read the advisory | View the submissions

Treasury consultation: Reforms to the Supervision of Australia’s Financial Markets - Exposure Draft and Consultation Paper
Comments closed 24 December 2009.
Download the exposure draft and consultation paper

CP123 Debentures: Strengthening the disclosure benchmarks
Released 22 October 2009. Comments closed 4 December 2009.
Download the paper | Read the advisory | View the submissions

CP122 Superannuation forecasts: ASIC relief and guidance for super funds
Released 21 October 2009. Comments closed 11 December 2009.
Download the paper | Read the advisory | View the submissions

CP121 Facilitating online financial services disclosures
Released 13 October 2009. Comments closed 11 December 2009.
Download the paper | Read the advisory

CP 120 Operators of clearing and settlement facilities
Released 1 October 2009. Comments closed 13 November 2009.
Download the paper | Read the advisory | Read the report on submissions

CP 119 was released in 2006

CP118 Responsible handling of rumours
Released 15 September 2009. Comments closed 9 November 2009.
Download the paper | Read the advisory

Treasury consultation: Margin Lending Disclosure - Draft Regulations and Example Product Disclosure Statement
Comments close 23 October 2009.
Download a copy of the draft regulations

CP 117 Consent to quote credit ratings in disclosure documents and PDSs
Released 10 September 2009. Comments close 22 October 2009.
Download the paper | Read the advisory

CP 116 Exempt professional financial markets
Released 7 September 2009. Comments closed 19 October 2009. (Revised 19 September 2013)
Download a copy of the revised paper | Read the advisory

CP 115 Responsible lending
Released 2 September 2009. Comments close 28 October (extended from 30 September 2009).
Download a copy of the paper | Read the advisory | Read the submissions | Read the report on submissions

Treasury consultation: Reporting requirements for dealings with unauthorised foreign insurers and in atypical risks
Comments closed 8 October 2009.
Download a copy of the paper from the Treasury website

CP 114 Client money relating to dealing in OTC derivatives
Released 7 August 2009. Comments closed 18 September 2009.
Download a copy of the paper | Read the advisory | View submissions | Read the report on submissions

CP 113 Competence and training for credit licensees
Released 29 July 2009. Comments closed 26 August 2009.
Download a copy of the paper | Read the advisory | View the submissions | Read the report on submissions

CP 112 Dispute resolution requirements for consumer credit and margin lending
Released 27 July 2009. Comments closed 11 September 2009.
Download a copy of the paper | Read the advisory | Class Order [CO 10/249] | Class Order [CO 10/250] | Read the submissions | Read the report on submissions | View current RG 139 | View current RG 165

CP 111 Compensation and financial resources arrangements for credit licensees
Released 15 July 2009. Comments closed 12 August 2009.
Download a copy of the paper | Read the advisory | View the submissions | Read the report on submissions

CP 110 General conduct obligations of credit licensees
Released 15 July 2009. Comments closed 12 August 2009.
Download a copy of the paper | Read the advisory | View submissions | Read the report on submissions

CP 109 Margin lending: Financial requirements
Released 13 July 2009. Comment closed 10 August 2009.
Download a copy of the paper | Read the advisory | View submissions | Read the report on submissions | Summary of amendments to RGs

CP 108 Margin lending: Training of financial advisers
Released 13 July 2009. Comment closed 10 August 2009.
Download a copy of the paper | Read the advisory | View submissions | Read the report on submissions | Summary of amendments to RGs

CP 107 Securities lending and substantial holding disclosure
Released 3 July 2009. Comment closed 7 August 2009.
Download a copy of the paper | Read the report on submissions | View submissions

CP 106 Short selling to hedge risk from market making activities
Released 30 April 2009. Comment closed 8 June 2009.
Download a copy of the paper | Read the report on submissions | View Submissions | Read the advisory | View [CO 09-774]

CP 105 Facilitating equity capital raising
Released 24 February 2009. Comment closed 30 March 2009.
Download a copy of the paper | Read the advisory | View the submissions | Read the report on submissions | View current RG 173 | View current RG 189 | View current RG 199

CP 104 Internet discussion sites
Released 2 March 2009. Comment closed 27 April 2009.
Download a copy of the paper | Read the advisory | View the submissions


2008



CP 103 Review of share purchase plan threshold
Released 18 December 2008. Comment closed 13 February 2009
Download a copy of the paper | Read the advisory | View the submissions | Read the report on submissions | View current RG 125

CP 90 Review of the Electronic Funds Transfer Code of Conduct 2007/08: ASIC proposals
Released 3 October 2008. Comment closed 5 December 2008
Download a copy of the paper | Read the advisory | View the submissions

CP 102 Dispute resolution—review of RG 139 and RG 165
Released 8 September 2008. Comment closed 7 November 2008
Download a copy of the paper | Read the advisory | View the submissions | Read the report on submissions | View current RG 139 | View current RG 165 | Read the advisory about reissued RG 139 and RG 165

CP 101 Superannuation forecasts
Released 28 July 2008. Comment closed 31 October 2008
Download a copy of the paper | Read the media release | View the submissions


CP 100 Unlisted property schemes—improving disclosure for retail investors
Released 8 July 2008. Comment closed 5 August 2008
Download a copy of the paper | Read the media release | View the submissions | Read the report on submissions | View current RG 46

CP 99 Mortgage schemes—improving disclosure for retail investors
Released 8 July 2008. Comment closed 5 August 2008
Download a copy of the paper | Read the media release | View the submissions | Read the report on submissions | View current RG 45

CP 98 Cross border recognition: Facilitating access to overseas markets and financial services
Released 16 June 2008. Comment closed 25 July 2008
Download a copy of the paper | Read the information release

CP 97 Simple Superannuation Advice
Released 30 May 2008. Comment closed 15 July 2008.
Download a copy of the paper | Read the media release | View the submissions

CP 96 Insurance requirements for registered liquidators
Released 29 February 2008. Comment closed 14 April 2008.
Download a copy of the paper | Read the information release | View the submissions | Read the report on submissions | View current RG 194

CP 93 Facilitating online financial services disclosures
Released 2 April 2008. Comment closed 28 May 2008.
Download a copy of the paper | Read the information release | View the submissions


2007



CP 95 Competition for market services - response to CP 86 and further consultation
Released 21 November 2007. Comment closed 29 January 2008.
Download a copy of the paper | Read the information release | View the submissions

CP 94 Debenture advertising
Released 31 October 2007. Comment closed 30 November 2007.
Download a copy of the consultation paper | Read the media release | View the submissions | Read the report on submissions | View current RG 156

CP 93 was released in 2008

CP 92 APRA & ASIC Discussion Paper - Streamlining Breach Reporting
Released 4 October 2007. Comment closed 31 October 2007.
Discussion paper | Draft online breach notification forms | Information release | Launch of new reporting system

CP 91 Non-traditional rights issues
Released 28 September 2007. Comment closes 7 November 2007.
Download a copy of the paper | Read the information release | Read the report on submissions | View current RG 189

CP 90 was released in 2008

CP 89 Unlisted, unrated debentures - improving disclosure for retail investors
Released 23 August 2007. Comment closed 1 October 2007.
Download a copy of the paper | Read the media release | View the submissions | Read the report on submissions | Read the media release | View current RG 69

CP 88 Reviewing and updating RG 146: Training of financial product advisers
Released 31 July 2007. Comment closed 25 September 2007.
Download a copy of the paper | Read the information release | View the submissions | Read the report on submissions | View current RG 146

CP 87 Compensation and insurance arrangements for AFS licensees
Released 23 July 2007. Comment closed 14 September 2007.
Download a copy of the paper | Read the information release | View the submissions | Read the report on submissions | Read the report into the PI insurance market | View current RG 126

CP 86 Competition for market services - trading in listed securities and related data
Released 23 July 2007. Comment closed 17 August 2007.
Download a copy of the paper | Read the later media release | Read the original information release | View the submissions

CP 85 Share and unit sale facilities
Released 4 July 2007. Comment closed 6 August 2007.
Download a copy of the paper | Read the information release | New RG 161

CP 84 Managed investment schemes: withdrawal rights and scheme liquidity
Released 3 July 2007. Comment closed 21 August 2007.
Download a copy of the paper | Read the information release

CP 83 Review of ASIC policy on investor directed portfolio services
Released 20 June 2007. Comment closed 4 September 2007.
Download a copy of the paper | Read the information release

CP 82 Wholesale equity venture capital schemes: Trustee licensing
Released 30 May 2007. Comment closed 15 August 2007.
Download a copy of the paper | Read the information release

CP 81 Management rights schemes
Released 7 May 2007. Comment closed 9 July 2007.
Download a copy of the paper | Read the information release

CP 80 Group insurance arrangements
Released 7 May 2007. Comment closed 25 June 2007.
Download a copy of the paper | Read the information release | Read the report on submissions | View current RG 195

CP 79 Disclosure relief for foreign scrip takeovers
Released 28 March 2007. Comment closed 4 May 2007
Download a copy of the paper | Read the information release

CP 78 Reviewing the EFT Code
Released 12 January 2007. Comment closed 30 April 2007.
Download a copy of the paper | Read the media release


2006



CP 77 On-market buybacks by ASX listed schemes
Released 19 December 2006. Comment closed 12 March 2007.
Download a copy of the paper | Read the information release

CP 76 Updating PS 164: Meeting the general obligations
Released 23 November 2006. Comment closed 28 February 2007.
Download a copy of the paper | Read the information release

CP 75 Updating PS 164: Organisational competence
Released 23 November 2006. Comment closed 28 February 2007.
Download a copy of the paper | Read the information release

CP 74 Review of PS 160: Time sharing schemes
Released 25 May 2006. Comment closed 17 July 2006.
Download a copy of the paper | Read the information release

CP 73 Managing conflicts of interest in the financial services industry
Released 19 April 2006. Comment closed 9 June 2006.
Download a copy of the paper | Read the media release

CP 72 Auditor rotation policy
Released 12 April 2006. Comment closed 26 May 2006.
Download a copy of the paper | Read the information release

CP 119 Regulation of financial markets: Exemptions from Part 7.2 of the Corporations Act
Released February 2006. Comment closed 28 February 2006.
Download a copy of the paper


2005



CP 71 Repetition of the general advice warning
Released 31 August 2005. Comment closed 26 September 2005.
Download a copy of the paper | Read the information release

CP 70 Online calculators
Released 23 August 2005. Comment closed 23 September 2005.
Download a copy of the paper | Read the information release

CP 69 Disclosing pro forma financial information
Released 29 July 2005. Comment closed 30 September 2005.
Download a copy of the paper | Read the information release

CP 68 Authorisation of general insurance arrangers
Released 4 August 2005. Comment closed 2 September 2005.
Download a copy of the paper | Read the information release

CP 67 Disclosure in reconstructions
Released 6 July 2005. Comment closed 19 August 2005.
Download a copy of the paper | Read the information release

CP 66 Debt collection guideline: for collectors, creditors and debtors (second draft)
Joint publication with ACCC. Released 1 July 2005. Comment closed 29 July 2005.
(See also CP 61)
Second draft guideline | Download a copy of the paper | Read the information release | Submissions to the second draft debt collection guideline

CP 65 Licensing: Credit rating agencies
Released 9 June 2005. Comment closed 22 July 2005.
Download a copy of the paper | Read the information release

CP 64 Approving a purpose for accessing the register of members of a mutual entity
Released 9 June 2005. Comment closed 22 July 2005.
Download a copy of the paper | Read the information release

CP 63 Market stabilisation
Released 11 March 2005. Comment closed 22 April 2005.
Download a copy of the paper | Read the information release

CP 62 Better experts' reports
Released 24 February 2005. Comment closed 27 April 2005.
Download a copy of the paper | Read the information release

CP 61 Debt collection guideline: for collectors, creditors and debtors (first draft)
Joint publication with ACCC. Released 14 February 2005. Comment closed 31 March 2005. (See also CP 66)
First draft guideline | Download a copy of the paper | Read the information release | Submissions to the first draft debt collection guideline

CP 60 Disclosure documents and PDS: Consent to quote [PN 55]
Released 27 January 2005. Comment closed 11 March 2005.
Download a copy of the paper | Read the information release


2004



CP 59 Non-cash payment facilities
Released 22 December 2004. Comment closed 25 February 2005.
Download a copy of the paper | Read the information release

CP 58 Unit pricing: Guide to good practice
Joint ASIC and APRA consultation paper. Released 23 December 2004. Comment closed 18 February 2005.
Download a copy of the paper | Read the media release

CP 57 Buy-backs: Small parcels
Released 13 December 2004. Comment closed 16 February 2005.
Download a copy of the paper | Read the information release

CP 56 Superannuation: Delivery of product disclosure and investment choice
Released 11 November 2004. Comment closed 22 December 2004.
Download a copy of the paper | Read the information release

CP 55 External administration: Liquidator registration
Released 8 October 2004. Comment closed 30 November 2004.
Download a copy of the paper | Read the information release

CP 54 Proposed relief for constitutions of registered managed investment schemes
Released 1 October 2004. Comment closed 30 November 2004.
Download a copy of the paper | Read the information release

CP 53 Licensing: Securitisation
Released 17 August 2004. Comment closed 17 September 2004.
Download a copy of the paper | Read the information release

CP 52 Dollar disclosure
Released 10 August 2004. Comment closed 7 September.
Download a copy of the paper | Read the information release

CP 51 CLERP 9: Authorised audit companies: Insurance arrangements
Released 16 June 2004. Comment closed 30 July 2004.
Download the paper | Read the information release

CP 50 CLERP 9: Auditor registration
Released 5 April 2004. Comment closed 18 May 2004.
Download the paper | Read the information release

CP 49 CLERP 9: Auditor and financial reporting obligations
Released 5 April 2004. Comment closed 18 May 2004.
Download the paper | Read the information release

CP 48 CLERP 9: Product disclosure
Released 5 April 2004. Comment closed 18 May 2004.
Download the paper | Read the information release

CP 47 Associates: share acquisition agreements
Released 25 November 2003. Comment closed 6 February 2004.
Download the paper | Read the information release

CP 46 Licensing: Managing conflicts of interest
Released 29 October 2003. Comment closed 31 January 2004.
Download the paper | Read the media release



2003



CP 45 Financial literacy in schools
Released 30 June 2003.
Download the paper | Read the media release | Summary of responses to the paper

CP 44 Managed discretionary account services
Released 16 April 2003. Comment closed 22 May 2003.
Download the paper | Read the information release

CP 43 Interim Policy Statement 159 Takeovers: discretionary powers
Released 20 February 2003. Comment closed 4 April 2003.
Download the paper | Read the information release

CP 41 / CP 42 Socially responsible investing disclosure / Draft s1013DA guidelines

2002



CP 40 Licensing: Discretionary powers - foreign financial services providers
Released 19 December 2002. Comment closed 28 February 2003.
Download the paper | Read the information release

CP 39 Licensing: Financial product advisers - conduct and disclosure
Released 12 December 2002. Comment closed 21 February 2003.
Download the paper | Read the information release

CP 38 Australian market licences: Overseas operators
Released 21 November 2002. Comment closed 28 February 2003.
Download the paper | Read the information release

CP 37 Foreign collective investment schemes
Released 21 November 2002. Comment closed 28 February 2003.
Download the paper | Read the information release
See also Information release 03-40

CP 36 The use of past performance in investment advertising
Released 30 September 2002. Comment closed 15 November 2002.
Read the media release and download a copy of the discussion paper

CP 35 Financial reporting and AGM obligations for companies in external administration under Part 5.3A
Released 5 September 2002. Comment closed 31 October 2002.
Download the paper | Read the media release

CP 34 Takeovers: False and misleading statements [PS 25]
Released 5 September 2002. Comment closed 31 October 2002.
Download the paper | Read the media release

CP 32 / CP 33 Secondary sales under s707(3) and (4) / Disclosure for on-sale of securities and other financial products

2001



CP 31 Draft Policy Statement 170 Prospective financial information
Released 12 December 2001. Comment closed 18 January 2002.
Download the paper | Read the media release

CP 30 Investment funds: Takeover and substantial holding relief
Released 23 November 2001. Comment closed 31 December 2001.
Download the paper | Read the media release
See also Information release 02-15.

CP 29 Australian market licences: Australian operators
Released 2 November 2001. Comment closed 30 November 2001.
Download the paper | Read the media release

CP 28 EUREX, HKFE and LME: Application for approval as exempt futures markets
Released 24 October 2001. Comment closed 16 November 2001.
Download a copy of the application | Read the media release

CP 27 Singapore Exchange Limited and ASX alliance agreement
Released October 2001. Comments closed 26 October 2001.
Download an overview of the agreement | Read the media release

CP 26: Licensing and disclosure: Making the transition to the FSR regime
Released 25 October 2001.
Download the paper | Read the media release

CP 25 Licensing: Financial requirements
Released 21 September 2001. Comment closed 29 October 2001.
Download the paper | Read the media release

CP 24 Licensing: Principals and representatives
Released 6 June 2001. Comment closed 5 July 2001.
Download the paper | Read the media release

CP 23 Licensing: External and internal dispute resolution procedures
Released 6 June 2001. Comment closed 5 July 2001.
Download the paper | Read the media release

CP 22 Licensing: Discretionary powers
Released 6 June 2001. Comment closed 5 July 2001.
Download the paper | Read the media release

CP 21 Approval of codes
Released 6 June 2001. Comment closed 5 July 2001.
Download the paper | Read the media release

CP 20 Account aggregation in the financial services sector
Released 31 May 2001. Comment closed 13 July 2001.
Download a copy of the report | Read the media release

CP 19 Licensing: The scope of the licensing regime: Financial product advice and dealing
Released 26 April 2001. Comment closed 7 June 2001.
Download the paper | Read the media release

CP 18 Licensing: Organisational capacities
Released 26 April 2001. Comment closed 7 June 2001.
Download the paper | Read the media release

CP 17 Licensing: Adapting IPS 146 to the Financial Service Reform regime
Released 26 April 2001. Comment closed 7 June 2001.
Download the paper | Read the media release

CP 16 Disclosure: Product disclosure statements (and other disclosure obligations)
Released 26 April 2001. Comment closed 7 June 2001.
Download the paper | Read the media release

CP 15 Disclosure: Discretionary powers and transition
Released 26 April 2001. Comment closed 7 June 2001.
Download the paper | Read the media release

CP 14 Draft guide to good transaction fee disclosure for banks, building societies and credit unions
Released 4 April 2001. Comment closed 11 May 2001.
Download the paper | Read the media release

CP 13 ASIC call for public comment on ASX Futures Exchange
Released 12 March 2001. Comment closed 20 April 2001.
Download a summary of the application | Read the information release


2000



CP 12 Electronic applications for life insurance and superannuation products
Released 5 October 2000. Comments closed 16 November 2000.
Download the paper | Read the information release

CP 11 Anomalies and issues in the takeover provisions
Released 14 September 2000. Comment closed 15 November 2000.
Download the paper | Read the media release

CP 10 Mutuality
Released 19 June 2000. Comment closed 21 July 2000.
Download the paper | Read the media release

CP 9 Educating financial services consumers
Released 3 July 2000. Comment closed 8 September 2000.
Download the paper | Read the media release

CP 8 Guidelines for internet discussion sites
Released 20 June 2000. Comments closed 25 July 2000.
Download the paper


1999



CP 7 Multimedia prospectuses and other offer documents
A paper by Dr Elizabeth Boros of the Centre for Corporate Law and Securities Regulation at the University of Melbourne.
Released December 1999. Comment closed 18 February 2000.
Download the paper

CP 6 The online corporation: Electronic corporate communications
A paper by Dr Elizabeth Boros of the Centre for Corporate Law and Securities Regulation at the University of Melbourne.
Released December 1999. Comment closed 18 February 2000.
Download the paper

CP 5 'Heard it on the grapevine'
Draft ASIC guidance on disclosure of information to investors and compliance with the continuous disclosure and insider trading provisions.
Released November 1999. Comments closed 17 December 1999.
Download the paper

CP 4 Managed investments: Protection of underlying land in primary production managed investment schemes
Released 2 June 1999. Comment closed 19 July 1999.
Download the paper | See also Information release 03-34 on timber plantation schemes

CP 3 Managed investments: Change of responsible entity - effect on contracts
Released 2 June 1999. Comment closed 19 July 1999.
Download the paper | See also Information release 00-23

CP 2 Non-discretionary portfolio services
Released 27 May 1999. Comment closed 25 June 1999.
Download the paper | Read the media release


1998



CP 1 Indirect self acquisition by investment funds
Released 19 October 1998. Comment closed 18 December 1998.
Download the paper | Read the media release

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