Financial services disclosure

Please note: From 2024, this Regulatory index will no longer be maintained and will be unpublished in the near future. 

Alternatively, you can use:

  • Regulatory tracker to search for regulatory documents published since 2020 categorised by subject.
  • Find a document to search for regulatory guides, information sheets, reports and consultations filtered by subject.
  • Regulatory document updates to search an archive of chronological listings of regulatory documents published on the ASIC website from 2013–2022.
  • Regulatory developments timetable to find proposed timeframes for ASIC regulatory work, such as the publication of draft or final guidance, or the anticipated making of a legislative instruments.

The regulatory index is a subject matter index that will help you find ASIC regulatory documents and legislative instruments by topic.

This regulatory index presents one pathway into ASIC's regulatory information. It should be used in conjunction with website search and navigation.

Find out more about the regulatory index or see related information at:

Overview

RG 175 Licensing: Financial product advisers - Conduct and disclosure

RG 221 Facilitating online financial services disclosures

RG 246 Conflicted and other banned remuneration (see 20-318MR)

INFO 99 Disclosure of credit ratings in Australia

ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647

ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649

ASIC Corporations (Disclosure Relief—Offers to Associates) Instrument 2017/737

REP 29 Preferential remuneration project

REP 30 Disclosure of soft dollar benefits: An ASIC research report

REP 42 Insurance broker remuneration arrangements

REP 443 Response to submissions on CP 224 Facilitating electronic financial services disclosures

REP 632 Disclosure: Why it shouldn’t be the default (see 19-279MR)

Related information

Regulatory index topic: Financial services - Product disclosure - Dollar disclosure

Financial services guide

RG 175 Licensing: Financial product advisers

RG 179 Managed discretionary account services

CO 12/417 Information in a Financial Services Guide given in a time-critical situation

ASIC Corporations (Financial Services Guides) Instrument 2015/541

ASIC Corporations (Superannuation and Schemes: Underlying Investments Instrument 2016/378

ASIC Corporations (In-use Notices for Employer-sponsored Superannuation and Superannuation Dashboards) Instrument 2022/496 (see 22-024MR and 22-142MR)

ASIC Corporations (Shorter PDS and Delivery of Accessible Financial Products Disclosure by Platform Operators and Superannuation Trustees) Instrument 2022/497 (see 22-024MR and 22-142MR)

ASIC Corporations (Financial Services Guide Given in a Time Critical Situation) Instrument 2022/498 (see (22-142MR)

ASIC Corporations (Repeal) Instrument 2022/499 (see 22-024MR and 22-142MR)

ASIC Corporations (Financial Services Guides) Instrument 2022/910 (see 22-327MR)

Related information

Home > Regulatory resources > Financial services > Giving advice > Financial services guide

Statements of advice 

RG 90 Example Statement of Advice for a limited financial advice scenario for a new client

RG 175 Licensing: Financial product advisers

RG 221 Facilitating online financial services disclosures

ASIC Corporations (Facilitating Electronic Delivery of Financial Services Disclosure) Instrument 2015/647

ASIC Corporations (Removing Barriers to Electronic Disclosure) Instrument 2015/649

REP 557 Response to submissions on CP 284 Example Statement of Advice for life insurance: Update to RG 90

Related information

Home > Regulatory resources > Financial services > Giving advice > Statement of advice

General advice warning

RG 175 Licensing: Financial product advisers

ASIC Corporations (General Advice Warning) Instrument 2015/540

REP 5 Review of the financial advising activities of real estate agents (interim report

REP 6 Review of the financial advising activities of real estate agents (technical paper) 

Advice fee consent and lack of independence disclosure

This section contains:

Overview

21-058MR ASIC releases advice fee consent and lack of independence disclosure legislative instruments (25 March 2021)

ASIC Corporations (Consent to Deductions—Ongoing Fee Arrangements) Instrument 2021/124

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125

ASIC Superannuation (Consent to Pass on Costs of Providing Advice) Instrument 2021/126

Sample form (ongoing fees - PDF 137 KB), Sample form (non-ongoing fees - PDF 88 KB) and FAQs

REP 687 Response to submissions on CP 329 on advice fee consents and independence disclosure (see 20-056MR)

Ongoing fee arrangements

21-134MR ASIC releases guidance on ongoing fee arrangements (15 June 2021)

INFO 256 FAQs: Ongoing fee arrangements 

RG 175 Licensing: Financial product advisers—Conduct and disclosure

ASIC Corporations (Disclosure of Lack of Independence) Instrument 2021/125

CP 332 Promoting access to affordable advice for consumers

Response to ASIC Consultation Paper 332 Promoting access to affordable advice for consumers (Infographic: PDF 88 KB): see news article

Non-ongoing fee consents

INFO 280 FAQs: Non-ongoing fee consents

Related information

RG 182 Dollar disclosure

RG 255 Providing digital financial product advice to retail clients

INFO 228 Limited AFS licensees: Advice conduct and disclosure obligations

Secondary services

RG 175 Licensing: Financial product advisers

ASIC Corporations (Financial Services Guides) Instrument 2015/541

Last updated: 04/04/2024 05:57