Reports

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

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

Commonly used reports

2012

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

Report 286 Response to submissions on CP 170 Downstream acquisitions: Update to RG 71
Released 16 May 2012.
Download the report (PDF 207KB) | 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 201KB)

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

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

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

Report 281 ASIC enforcement outcomes: July to December 2011
Released 29 March 2012.
Download the report (PDF 257KB) | 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 321KB) | View submissions to CP 163

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

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

Report 277 ASIC supervision of markets and participants: July to December 2011
Released 7 February 2012.
Download the report (PDF 198KB)

Report 276 Modifying the naming provisions and advertising requirements
Released 8 February 2012.
Download the report (PDF 157KB) | 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 276KB) | 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 227KB) | 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 198KB) | 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 236KB) | 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 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)

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)

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)

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)

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

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

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

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)

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 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)

| Download Appendix 2 - draft PF 209

| 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)

| 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)

| 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

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

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

| 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

| Read the advisory

Report 251 Review of financial advice industry practice
Released 13 September 2011.
Download the report

| Read the media release

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

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

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

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

Report 246 Response to submissions on CP 146 OTC CFDs: Improving disclosure for retail investors
Released 12 August 2011
Download the report

| 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

| 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

| 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

| Read the advisory

Report 242 Audit inspection program public report for 2009–10
Released 29 June 2011
Download the report

| Read the advisory

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

| Read the advisory

Report 240 Compensation for retail investors: the social impact of monetary loss
Released 19 May 2011
Download the report

| Read the advisory

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

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

| 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

| 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
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| 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

| 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

| Read the CP

REP 233 Response to submissions on CP 142 Related party transactions
Released 30 March 2011
Download the report

| Read the CP

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

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

REP 230 Financial literacy and behavioural change
Released 15 March 2011.
Download the report

| Read the media release

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

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

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

| Read the advisory

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

| Read the advisory

2010

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

| Read the advisory

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

| Read the advisory

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

| Read the advisory | Read the CP

REP 222 Market assessment report: ASX group
Released 30 November 2010.
Read the report

| Read the advisory

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

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

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

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

| Read the advisory

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

| 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

| 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

| Read the media release

REP 214 Review of superannuation PDSs
Released 28 October 2010
Download the report

| Read the advisory

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

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

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

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

| 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

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

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
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REP 151: Market assessment report: Bendigo Stock Exchange Limited
Released 9 April 2009
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REP 150: Overview of decisions on relief applications (August to November 2008)
Released 24 April 2009
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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
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REP 147: Market assessment report: The London Metal Exchange Limited ARBN 120 748 021
Released 14 January 2009
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REP 146: Market assessment report: Eurex Frankfurt AG ARBN 100 999 764
Released 14 January 2009
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REP 145: Market assessment report: Board of Trade of the City of Chicago Inc. ARBN 110 594 459
Released 14 January 2009
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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
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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 | Download a copy of the consultation paper

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 | Download a copy of the consultation paper

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

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 | Download a copy of the consultation paper

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 | Download a copy of the consultation paper

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 | Download 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 | Download 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 | Download 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 | Download a copy of the consultation paper

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 | Download a copy of the consultation paper | 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 | Download a copy of the consultation paper | 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
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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.
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REP 96 Market assessment report: Eurex Frankfurt AG (June 2007)
Released June 2007
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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.
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REP 94 Market assessment report: ASX Limited/Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (May 2007)
Released May 2007.
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REP 93 Market assessment report: Chicago Mercantile Exchange Inc (March 2007)
Released March 2007.
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REP 92 Market assessment report: Board of Trade of the City of Chicago Inc (February 2007)
Released March 2007.
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REP 91 Market assessment report: ICAP Europe Limited (February 2007)
Released February 2007.
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REP 90 Market assessment report: Australian Pacific Exchange Limited (February 2007)
Released March 2007.
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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.
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2006

REP 87 Market assessment report: Yieldbroker Pty Limited (November 2006)
Released November 2006.
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REP 86 Market assessment report: IMB Ltd (October 2006)
Released November 2006.
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REP 85 Market assessment report: Reuters Transaction Services Limited (September 2006)
Released November 2006.
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REP 84 Monitoring superannuation fees and costs (October 2005 to June 2006)
Released November 2006.
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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.
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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.
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REP 80 Market assessment report: Mercari Pty Limited (August 2006)
Released June 2006.
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REP 79 Market assessment report: Australian Clearing House Pty Limited/ASX Settlement and Transfer Corporation Pty Limited (July 2006)
Released August 2006.
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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.
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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.
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REP 76 Market assessment report: SFE Clearing Corporation Pty Limited/Austraclear Limited (May 2006)
Released June 2006.
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REP 75 Market assessment report: Sydney Futures Exchange Limited (May 2006)
Released June 2006.
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REP 74 Market assessment report: Eurex Frankfurt AG (May 2006)
Released June 2006.
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REP 73 Market assessment report: EBS Service Company Limited (May 2006)
Released May 2006.
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REP 72 Market assessment report: Chicago Mercantile Exchange Inc (May 2006)
Released May 2006.
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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.
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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.
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REP 67 Market assessment report: SFE Clearing Corporation Pty Limited/Austraclear Limited (January 2006)
Released January 2006.
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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.
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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.
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REP 63 Compliance with the EFT Code of Conduct (April 2003 to March 2004)
Released December 2005.
Download report from our consumer website, FIDO

REP 62 Market assessment report: Sydney Futures Exchange Limited (November 2005)
Released December 2005.
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REP 61 Market assessment report: Australian Pacific Exchange Limited (November 2005)
Released November 2005.
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REP 60 Market assessment report: Yieldbroker Pty Limited (October 2005)
Released November 2005.
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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.
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REP 56 Market assessment report: SFE Clearing Corporation Pty Limited (August 2005)
Released October 2005.
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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.
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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.
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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.
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REP 48 Market assessment report: Eurex Frankfurt AG (July 2005)
Released July 2005.
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REP 47 Market assessment report: Bendigo Stock Exchange Limited (July 2005)
Released July 2005.
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REP 46 Market assessment report: Australian Stock Exchange Limited (June 2005)
Released July 2005.
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REP 45 Market assessment report: Yieldbroker Pty Limited (June 2005)
Released July 2005.
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REP 44 Market assessment report: ICAP Europe Limited (June 2005)
Released July 2005.
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REP 43 Market assessment report: Golden Circle Limited (June 2005)
Released July 2005.
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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.
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REP 40 Market assessment report: Sydney Futures Exchange Limited (April 2005)
Released June 2005.
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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.
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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.
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REP 35 Market assessment report: Bendigo Stock Exchange Limited (November 2004)
Released December 2004.
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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.
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REP 32 Market assessment report: Australian Stock Exchange Limited/ ASX Futures Exchange Limited (August 2004)
Released September 2004.
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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 from our consumer website, FIDO

REP 26 Market assessment report: Sydney Futures Exchange Limited / SFE Corporation Limited (November 2003)
Released November 2003.
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REP 25 Market assessment report: Australian Stock Exchange Limited/ ASX Futures Exchange Limited (June 2003)
Released September 2003.
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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 from our consumer website, FIDO

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.
Read the media release and Download report

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.
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REP 14 International cold calling investment scams
An ASIC report into international telemarketing scams. Released June 2002.
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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 from our consumer website, FIDO

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.
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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.
Download report from our consumer website, FIDO

REP 10 Final report of the national life insurance disability campaign
Released February 2001.
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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 from our consumer website, FIDO

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.
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