| Regulations |
|---|
| ASIC Corporations (Foreign Financial Services Providers-Foreign AFS Licensees) Instrument 2020/198 |
| ASIC Derivative Transaction Rules (Reporting) 2013 |
| ASIC Derivative Transaction Rules Clearing 2015 |
| ASIC Market Integrity Rules (Capital) 2021 |
| ASIC Market Integrity Rules (Securities Markets) 2017 |
| Australian Securities and Investments Commission Act 2001 |
| Competition and Consumer Regulations 2010 |
| Corporations Act 2001 Vol 1 |
| Corporations Act 2001 Vol 2 |
| Corporations Act 2001 Vol 3 |
| Corporations Act 2001 Vol 4 |
| Corporations Act 2001 Vol 5 |
| Corporations Act 2001 Vol 6 |
| Corporations Act 2001 Vol 7 |
| Corporations Regulations Vol 1 |
| Corporations Regulations Vol 2 |
| Corporations Regulations Vol 3 |
| Corporations Regulations Vol 4 |
| Corporations Regulations Vol 5 |
| Corporations Regulations Vol 6 |
| Corporations Regulations Vol 7 |
| ePayments Code |
| Financial Planners and Advisers Code of Ethics |
| National Consumer Credit and Protection Act 2009 Vol 1 |
| National Consumer Credit and Protection Act 2009 Vol 2 |
| National Consumer Credit Protection Regulations 2010 |
| Regulatory Guide 274 - Product design and distribution obligations |
| RG 1 - AFS Licensing Kit: Part 1- Applying for and varying an AFS licence |
| RG 10 - Compulsory Acquisitions and Buyouts |
| RG 100 - Court enforceable undertakings |
| RG 101 - Managed Investment Scheme Buybacks |
| RG 102 - Tender Offers by Vendor Shareholders |
| RG 103 - Confidentiality and Release of Information |
| RG 104 - Licensing: Meeting the general obligations |
| RG 105 - AFS licensing: Organisational competence |
| RG 106 - Controller Duties and Bank Accounts |
| RG 107 - Fundraising : Facilitating Electronic Offers of Securities |
| RG 108 - No-action letters |
| RG 110 - Share Buy-Backs |
| RG 111 - Content of Expert Reports |
| RG 112 - Independence of Experts |
| RG 115 - Audit Relief for Propriety Companies |
| RG 121 - Doing financial services business in Australia |
| RG 125 - Share and Interest Purchase Plans |
| RG 126 - Compensation and insurance arrangements for AFS licensees |
| RG 128 - Collective Action by Investors |
| RG 129 - Business Introduction or Matching Services |
| RG 13 - ACN, ABRN and Company Names |
| RG 131 - Funds management: Establishing and registering a fund |
| RG 132 - Funds management: Compliance and oversight |
| RG 133 - Funds management and custodial services: Holding assets |
| RG 134 - Funds management : Constitutions |
| RG 135 - Managed Investments - Transitional Issues |
| RG 136 - Funds Management : Discretionary Powers |
| RG 137 - Constitution requirements for schemes registered before 1 October 2013 |
| RG 138 - Foreign Passport Funds |
| RG 139 - Approval and Oversight of External Dispute Resolution Schemes |
| RG 14 - Receivers - Retention of Company Records |
| RG 140 - Strata schemes and management rights schemes |
| RG 141 - Offers of Securities on the Internet |
| RG 144 - Mortgage investment schemes |
| RG 146 - Licensing: Training of financial product advisers |
| RG 147 - Mutuality - Financial institutions |
| RG 148 - Platforms that are managed investment schemes and nominee and custody services |
| RG 15 - Enforcement Actions - No Undertakings |
| RG 151 - Fundraising: Discretionary powers |
| RG 154 - Certificate by a qualified accountant |
| RG 156 - Advertising of debentures and notes to retail investors |
| RG 16 - External Administrators: Reporting and Lodging |
| RG 160 - Time-sharing schemes |
| RG 161 - Share and interest sale facilities |
| RG 162 - Internet discussion sites |
| RG 166 - Licensing: Financial requirements |
| RG 167 - Licensing: Discretionary powers |
| RG 168 - Disclosure: Product Disclosure Statements (and other disclosure obligations) |
| RG 169 - Disclosure: Discretionary powers |
| RG 17 - Fees for Subpoenas |
| RG 170 - Prospective financial information |
| RG 172 - Financial markets: Domestic and overseas operators |
| RG 173 - Disclosure for on-sale of securities and other financial products |
| RG 174 - Relief for externally administered companies and registered schemes being wound up |
| RG 175 - Licensing: Financial product advisers - Conduct and disclosure |
| RG 176 - Foreign financial services providers |
| RG 178 - Foreign collective investment schemes |
| RG 179 - Managed discretionary accounts |
| RG 18 - Serving Legal Documents on the ASC |
| RG 180 - Auditor registration |
| RG 181 - Licensing: Managing conflicts of interest |
| RG 182 - Dollar disclosure |
| RG 183 - Approval of financial services sector codes of conduct |
| RG 184 - Superannuation: Delivery of product disclosure for investment strategies |
| RG 185 - Non-cash payment facilities |
| RG 187 - Auditor rotation |
| RG 188 - Disclosure in reconstructions |
| RG 189 - Disclosure relief for rights issues |
| RG 190 - Offering financial products in New Zealand and Australia under mutual recognition |
| RG 192 - Licensing: Wholesale equity schemes |
| RG 193 - Notification of directors' interests in securities - listed companies |
| RG 195 - Group purchasing bodies for insurance and risk products |
| RG 196 - Short selling |
| RG 197 - Warrants: Out-of-use notices |
| RG 198 - Unlisted disclosing entities: Continuous disclosure obligations |
| RG 2 - AFS Licensing Kit: Part 2- Preparing your AFS Licence or Variation Application |
| RG 20 - Disclosure of Convictions and Proceedings |
| RG 201 - Unsolicited credit cards and debit cards |
| RG 203 - Do I need a credit licence? |
| RG 204 - Applying for and varying a credit licence |
| RG 205 - Credit licensing: General conduct obligations |
| RG 206 - Credit licensing: Competence and training |
| RG 207 - Credit licensing: Financial requirements |
| RG 208 - How ASIC charges fees for credit relief applications |
| RG 209 - Credit licensing: Responsible lending conduct |
| RG 21 - How ASIC Charges Fees for Relief Applications |
| RG 210 - Compensation and insurance arrangements for credit licensees |
| RG 211 - Clearing and settlement facilities: Australian and overseas operators |
| RG 212 - Client money relating to dealing in OTC derivatives |
| RG 216 - Markets Disciplinary Panel |
| RG 217 - Duty to prevent insolvent trading: Guide for directors |
| RG 218 - Licensing: Administrative action against persons engaging in credit activities |
| RG 219 - Non-standard margin lending facilities: Disclosure to investors |
| RG 22 - Directors' Statement as to Solvency |
| RG 220 - Early termination fees for residential loans: Unconscionable fees and unfair contract terms |
| RG 221 - Facilitating digital financial services disclosures |
| RG 222 - Substantial holding disclosure: Securities lending and prime broking |
| RG 227 - Over-the-counter contracts for difference: Improving disclosure for retail investors |
| RG 228 - Prospectuses: Effective disclosure for retail investors |
| RG 229 - Superannuation forecasts |
| RG 230 - Disclosing non-IFRS financial information |
| RG 231 - Infrastructure entities: Improving disclosure for retail investors |
| RG 232 - Agribusiness managed investment schemes: Improving disclosure for retail investors |
| RG 233 - Indirect self-acquisition: Relief for investment funds |
| RG 234 - Advertising financial products and services (including credit): Good practice guidance |
| RG 235 - Registering your business name |
| RG 236 - Do I need an AFS licence to participate in carbon markets? |
| RG 237 - Trustee companies: Transfer determinations by ASIC |
| RG 240 - Hedge funds: Improving disclosure |
| RG 241 - Electronic trading |
| RG 242 - ASIC's power to wind up abandoned companies |
| RG 243 - Registration of self-managed superannuation fund auditors |
| RG 244 - Giving information, general advice and scaled advice |
| RG 246 - 10 December 2020_V1(1) |
| RG 247 - Effective disclosure in an operating and financial review |
| RG 248 - Litigation schemes and proof of debt schemes: Managing conflicts of interest |
| RG 249 - Derivative trade repositories |
| RG 25 - Takeovers - False and Misleading Statements |
| RG 251 - Derivative transaction reporting |
| RG 252 - Keeping superannuation websites up to date |
| RG 253 - Fundraising: Facilitating offers of CHESS Depository Interests |
| RG 254 - Offering securities under a disclosure document |
| RG 255 - Providing digital financial product advice to retail clients |
| RG 256 - Client review and remediation conducted by advice licensees |
| RG 258 - Registered liquidators: Registration, disciplinary actions and insurance requirements |
| RG 259 - Risk management systems of responsible entities |
| RG 26 - Resignation, Removal and Replacement of Auditors |
| RG 260 - Communicating findings from audit files to directors, audit committees or senior managers |
| RG 261 - Crowd-sourced funding: Guide for companies |
| RG 262 - Crowd-sourced funding: Guide for intermediaries |
| RG 263 - Financial Services and Credit Panel |
| RG 264 - Sell-side research |
| RG 265 - Guidance on ASIC market integrity rules for participants of securities markets |
| RG 266 - Guidance on ASIC market integrity rules for participants of futures markets |
| RG 267 - Oversight of the Australian Financial Complaints Authority |
| RG 268 -Licensing regime for financial benchmark administrators |
| RG 269 - Approval and oversight of compliance schemes for financial advisers |
| RG 270 - Whistle blower policies |
| RG 271- Internal Dispute Resolution |
| RG 272 - Product intervention power |
| RG 273 - Mortgage brokers: Best interests duty |
| RG 274 - Product design and distribution obligations |
| RG 275 - The deferred sales model for add-on insurance |
| RG 276 - Superannuation forecasts: Calculators and retirement estimates |
| RG 277 Consumer Remediation |
| RG 28 - Relief from Dual Lodgement of Financial Reports |
| RG 29 - Financial Reporting by Australian Companies in Dual-Listed Company Arrangements |
| RG 3 - AFS Licensing Kit: Part 3 - Preparing your Additional Proofs |
| RG 30 - Paperless Issues and Transfers under a Global Debenture |
| RG 32 - Trustee Companies' Common Funds |
| RG 33 - Security Deposits |
| RG 34 - Auditor's Obligations: Reporting to ASIC |
| RG 36 - Licensing: Financial product advice and dealing |
| RG 38 - The Hawking Provision |
| RG 39 - Licensed Investment Advisers: Security Deposit |
| RG 40 - Good Transaction Fee Disclosure |
| RG 41 - Limited Partnerships Fundraising |
| RG 43 - Financial Reports and Audit Relief |
| RG 44 - Annual General Meeting - Extension of Time |
| RG 45 - Mortgage Schemes: Improving Disclosure for Retail Investors |
| RG 46 - Unlisted Property Schemes : Improving Disclosure for Retail Investors |
| RG 49 - Employee Incentive Schemes |
| RG 5 - Relevant Interests and Substantial Holding Notices |
| RG 50 - Omission of "Limited" from Company Names |
| RG 51 - Applications for Relief |
| RG 53 - The Use of Past Performance in Promotional Material |
| RG 54 - Principles for Cross Border Financial Regulation |
| RG 55 - Statements in Disclosure Documents and PDSs: Consent to Quote |
| RG 57 - Notification of Rights of Review |
| RG 58 - Reporting by Registered Foreign Companies and Australian Companies with Foreign Shareholders |
| RG 59 - Announcing and Withdrawing Takeover Bids (s653 and s746) |
| RG 6 - Takeovers: Exceptions to the General Prohibition |
| RG 60 - Schemes of Arrangement |
| RG 62 - Better disclosure for investors |
| RG 64 - Failure to Lodge Documents |
| RG 65 - Section 1013DA Disclosure Guidelines |
| RG 66 - Transaction-specific Disclosure for PDSs |
| RG 67 - Real Estate Companies |
| RG 68 - New Financial Reporting and Procedural Requirements |
| RG 69 - Debentures and Notes: Improving Disclosure for Retail Investors |
| RG 7 - Calculating Time Periods |
| RG 70 - Prospectuses for Cashbox and Investment Companies |
| RG 71 - Downstream Acquisitions |
| RG 72 - Foreign securities: Disclosure relief |
| RG 73 - Continuous Disclosure Obligations: Infringement Notices |
| RG 74 - Acquisitions Approved by Members |
| RG 76 - Related Party Transactions |
| RG 77 - Property Trusts and Property Syndicates |
| RG 78 - Breach reporting by AFS licensees and credit licensees |
| RG 79 - Research Report Providers : Improving the Quality of Investment Research |
| RG 8 - Calculating Time Periods |
| RG 80 - Managed Investment Schemes : Interests not for Money |
| RG 81 - Destruction of Books |
| RG 82 - External Administration: Deeds of Company Arrangement Involving a Creditors' Trust |
| RG 83 - Reinstatement of Companies |
| RG 85 - Reporting requirements for non-reporting entities |
| RG 86 - Tracing Beneficial Ownership |
| RG 87 - Charitable Schemes and School Enrolment Deposits |
| RG 9 - Takeover Bids |
| RG 90 - Example Statement of Advice : Scaled Advice for a New Client |
| RG 91 - Horse Breeding Schemes and Horse Racing Syndicates |
| RG 92 - Procedural fairness to third parties |
| RG 93 - Reimbursing Liquidation Costs |
| RG 94 - Unit Pricing: Guide to Good Practice |
| RG 95 - Disclosing Entity Provisions Relief |
| RG 96 - Debt Collection Guideline: For Collectors and Creditors |
| RG 97 - Disclosing Fees and Costs in PDSs and Periodic Statements |
| RG 98 - ASIC's powers to suspend, cancel and vary AFS licences and make banning orders |
| Superannuation Act 1976 Vol 1 |
| Superannuation Act 1976 Vol 2 |
| Superannuation Act 1990 |
| Superannuation Act 2005 |
| Superannuation Guarantee (Administration) Act 1992 |
| Superannuation Industry (Supervision) Act 1993 Vol 1 |
| Superannuation Industry (Supervision) Act 1993 Vol 2 |
| Treasury Laws Amendment (More Competition Better Prices) Act 2022 |
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