Financial services

ASIC's regulatory guidance on compliance with the financial services regime.

The Corporations Act 2001 imposes:

  • a single licensing regime for financial sales, advice and dealings in relation to financial products,
  • consistent and comparable financial product disclosure,
  • and a single authorisation procedure for financial exchanges and clearing and settlement facilities.

The regulatory framework covers a wide range of financial products including securities, derivatives, general and life insurance, superannuation, margin lending, carbon units, deposit accounts and means of payment facilities.

We have released regulatory guidance in relation to the Future of Financial Advice (FOFA) reforms. We are continuing to monitor the progress of the relevant regulations, in light of ongoing government review of these reforms.

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Financial advice: Review of how large institutions oversee their advisers

20 March 2017

Louise Macaulay, Senior Executive Leader - Financial Advisers, discusses ASIC's recent review of how large institutions oversee their financial advisers.

Listen to the podcast 


Last updated: 20/10/2014 12:00