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Showing 11 - 20 of 125 results for "Regulatory Guide 97"

ASIC seeks relief extension for securitisation entities

KARREN VERGARA  |  WEDNESDAY, 21 JAN 2026
ASIC is seeking to extend a relief for securitisation entities from holding an AFSL for five more years. The regulator is seeking stakeholder feedback on its plans to remake a relief instrument by extending the exemption for securitisation entities ...

ASIC seeks feedback on updating financial reports relief guidance

MATTHEW WAI  |  TUESDAY, 13 JAN 2026
ASIC has commenced a consultation on updating the Regulatory Guide 43 Financial reports and audit relief (RG 43), to ensure clarity in granting relief from the financial record-keeping, financial reporting, and audit requirements. The update aims to ...

ASIC welcomes support for simplifying guidance on conflicts of interest

MATTHEW WAI  |  TUESDAY, 16 DEC 2025
ASIC has made changes to the regulatory guidance on managing conflicts of interest for Australian financial services licence (AFSL) holders, with the changes informed by its surveillance of private markets. The updated Regulatory Guide 181 AFS Licensing ...

Benchmark report reveals crucial blind spots in whistleblower protections

MATTHEW WAI  |  THURSDAY, 4 DEC 2025
In a report published today, ASIC has outlined several key trends among companies' whistleblower policies, and where they need to improve. Insights from the ASIC Whistleblower Questionnaire: July 2024 to June 2025 (REP 827) - which studied 134 companies ...

ASIC strengthens codes of conduct guidance

KARREN VERGARA  |  WEDNESDAY, 3 DEC 2025
ASIC has refreshed its regulatory guidance on codes of conduct for the financial services sector, saying that they have an important role in how financial products and services are regulated. ASIC has updated Regulatory Guide 183 Codes of conduct for ...

ASIC releases new ETP guide amid booming market

KARREN VERGARA  |  MONDAY, 10 NOV 2025
ASIC has released a new regulatory guide for exchange-traded products (ETPs) to help participants comply with their obligations in a booming market. RG 282: Exchange-traded products targets issuers, responsible entities and market operators. In the ...

ASIC to review RG97 to boost property supply

JAMIE WILLIAMSON  |  WEDNESDAY, 13 AUG 2025
ASIC is reviewing the need for superannuation funds to include stamp duty payments in fee disclosures in a bid to boost their investment in property. Super funds have long held concerns that obligations under Regulatory Guide 97: Disclosing fees and ...

Licensee compliance head banned over fees for no service

MATTHEW WAI  |  WEDNESDAY, 9 JUL 2025
The former head of compliance at a now defunct advice licensee has been banned for three years over the way he dealt with an adviser's fees for no service misconduct. Former Crown Wealth Group director and head of compliance Andrew Moore has been banned ...

ASIC releases new relief for reportable situations regime

KARREN VERGARA  |  MONDAY, 30 JUN 2025
ASIC has provided AFSLs new reliefs to help them manage the reportable situations regime, which includes extending the length of investigations reportable from 30 days to 60 days. Also in the relief, ASIC is exempting the reporting of certain breaches ...

ASIC flags regulatory guide updates for 2025

ELIZA BAVIN  |  TUESDAY, 26 NOV 2024
The Australian Securities and Investments Commission (ASIC) has announced it intends to update some key regulatory guides in 2025. ASIC said it regularly reviews and updates regulatory guides to ensure they remain simple to follow, effective, current ...