RG 132 Funds management: Compliance and oversight

Issued 31 July 2018

This guide is for:

  • responsible entities of registered managed investment schemes (registered schemes); and
  • ŸAustralian passport fund operators.

Parts of this guide are also relevant for:

  • Ÿwholesale managed investment scheme operators;
  • investor directed portfolio service (IDPS) operators; and
  • Ÿmanaged discretionary account (MDA) providers.

Aspects of this guide are also relevant to those with oversight responsibilities, including compliance committees, independent oversight entities, compliance plan auditors and annual implementation reviewers.

It gives guidance on the compliance and oversight obligations these entities must meet under the Corporations Act and other legal obligations.

Download RG 132 (PDF 666KB)

Last updated: 04/11/1998 12:00