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In this category · 27 items
EU 2016/1675 — Commission Delegated Regulation (EU) 2016.1675 on High Risk Third Countries
This regulation identifies high-risk third countries with strategic deficiencies in the area of anti-money laundering (AML) and countering the financing of terrorism (CFT). It supplements Directive (EU) 2015/849, providing a legal framework for such identifications.
- Issuer
- European Commission
- Jurisdiction
- European Union
- Version
- 14 July 2016
- Updated
- Jun 2023
COBIT 2019 — COBIT 2019 Framework
The COBIT 2019 Framework, developed by ISACA, is a globally recognized standard for optimizing enterprise IT governance and management. It provides flexible, detailed guidance for organizations aiming to achieve effective governance over information and technology.
- Issuer
- ISACA
- Version
- 2019
SPS 521 — Prudential Standard SPS 521 - Conflicts of Interest
Prudential Standard SPS 521 is a legislative instrument under the Superannuation Industry (Supervision) Act 1993. It sets requirements for superannuation entities in Australia to appropriately manage conflicts of interest to ensure compliance and trust in their operations.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
SPS 310 — Prudential Standard SPS 310 Audit and Related Matters
Prudential Standard SPS 310 establishes requirements for conducting audits and related matters for the superannuation industry in Australia. It ensures compliance with financial reporting and auditing practices in accordance with regulatory standards.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
- Updated
- Jun 2024
Corporations Act 2001 — Corporations Act 2001
The Corporations Act 2001 is Australia’s primary legislation regulating companies and other business entities. It outlines fiduciary duties for directors, including acting in good faith, exercising care and diligence, avoiding improper use of information or position, and disclosing certain interests.
- Issuer
- Australian Government
- Jurisdiction
- Australia
- Version
- 28 September 2017
- Updated
- Nov 2024
Workplace Relations Act 1996
The Workplace Relations Act 1996 was an Australian federal law governing employment relations, setting frameworks for workplace agreements, wage-setting, and employee entitlements. It covered topics such as the Australian Fair Pay Commission, industrial relations, and minimum workplace standards.
- Issuer
- Australian Government
- Jurisdiction
- Australia
- Updated
- Dec 2006
CPS 520 — Prudential Standard CPS 520 Fit and Proper
The Prudential Standard CPS 520 sets out the requirements for assessing the fitness and propriety of responsible persons in APRA-regulated institutions, including banks, insurers, and private health insurers. It ensures that key positions are held by individuals who meet high standards of integrity and competence.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
- Updated
- Jul 2019
Corporations Regulations 2001 — Corporations Regulations 2001
The Corporations Regulations 2001 is a set of legislative rules in Australia that provide detailed regulations supporting the Corporations Act 2001. It governs key aspects of corporate governance, financial reporting, and administration within Australian companies.
- Issuer
- Australian Government
- Jurisdiction
- Australia
- Version
- 01 January 2022
- Updated
- Jan 2022
EU Data Act — Regulation on harmonised rules on fair access to and use of data (Data Act)
The Data Act is an EU regulation that aims to establish fair rules for access to and use of data generated by connected devices. It promotes data sharing, safeguards user rights, and prevents unfair practices while supporting innovation and the data economy.
- Issuer
- European Commission
- Jurisdiction
- European Union
- Version
- (EU) 2023/2854
- Updated
- Dec 2025
RG 175 — RG 175 AFS licensing: Financial product advisers—Conduct and disclosure
This regulatory guide outlines the conduct and disclosure obligations of financial product advisers who provide advice to retail clients in Australia. It focuses on requirements under Part 7.7 and Division 2 of Part 7.7A of the Corporations Act.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
- Updated
- Nov 2024
CPS 231 — Prudential Standard CPS 231 Outsourcing
The Prudential Standard CPS 231 establishes requirements for outsourcing arrangements by financial institutions regulated by the Australian Prudential Regulation Authority (APRA). It aims to ensure that risks associated with outsourcing are effectively managed.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
- Updated
- Jul 2017
RG 1 — RG 1 Applying for and varying an AFS licence
This regulatory guide provides details on the process for applying for and varying an Australian Financial Services (AFS) licence. It outlines ASIC’s approach to assessing applications and the required documentation for submission.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
RG 271 — RG 271 Internal Dispute Resolution
This regulatory guide outlines enforceable standards and requirements for internal dispute resolution (IDR) systems for financial firms in Australia. It specifies the obligations these firms must meet to comply with ASIC's IDR standards.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
- Updated
- Sep 2021
RG 274 — RG 274 Product Design and Distribution Obligations
This guide, issued by ASIC, outlines obligations for issuers and distributors of financial products under Part 7.8A of the Corporations Act. It provides ASIC's interpretation, expectations for compliance, and approach for administering these obligations.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
RG 181 — RG 181 AFS licensing: Managing conflicts of interest
This regulatory guide outlines the legal obligations under the Corporations Act for Australian financial services (AFS) licensees to have adequate arrangements to manage conflicts of interest. It provides specific guidance on identifying conflicts, implementing effective arrangements, and managing conflicts using appropriate tools.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
- Updated
- Dec 2025
RG 133 — RG 133 Funds Management and Custodial Services: Holding Assets
RG 133 outlines the Australian financial services (AFS) licence obligations for entities involved in managing and holding client assets. It sets minimum standards that apply to responsible entities of registered managed investment schemes, licensed custody providers, MDA providers, and IDPS operators.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
- Updated
- Dec 2024
CPG 235 — Prudential Practice Guide CPG 235 - Managing Data Risk
The Prudential Practice Guide CPG 235 provides guidance for Australian financial institutions on how to effectively manage data risk. It focuses on identifying, assessing, and mitigating risks associated with data to ensure its integrity, availability, and confidentiality.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
CPS 220 — Prudential Standard CPS 220 Risk Management
CPS 220 is a prudential standard issued by the Australian Prudential Regulation Authority (APRA) outlining risk management requirements for regulated entities. It establishes standards for institutions to identify, assess, and manage risks effectively to ensure financial stability and compliance.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
- Updated
- Jul 2017
CPS 226 — Prudential Standard CPS 226: Margining and Risk Mitigation for Non-centrally Cleared Derivatives
This is an Australian standard issued by APRA outlining the requirements for margining and risk mitigation of non-centrally cleared derivatives. It ensures financial institutions operate with adequate practices to manage counterparty risk.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
CPS 232 — Prudential Standard CPS 232 Business Continuity Management
CPS 232 is an Australian Prudential Standard that outlines the requirements for regulated entities to maintain and manage effective business continuity plans. It ensures that entities are prepared to address and recover from disruptions to their operations.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
- Updated
- Jul 2017
CPS 230 — Prudential Standard CPS 230 Operational Risk Management
CPS 230 sets out requirements for APRA-regulated entities to effectively manage operational risks. It covers obligations on governance, risk frameworks, and risk controls to ensure resilience against operational disruptions.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
- Updated
- Jul 2023
RG 166 — RG 166 AFS Licensing: Financial Requirements
RG 166 provides financial requirements for holders of an Australian Financial Services (AFS) licence, which vary based on the financial products and services offered. It excludes entities regulated by the Australian Prudential Regulation Authority (APRA) that are not required to comply with specific provisions of the Corporations Act 2001.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
- Updated
- Sep 2023
RG 104 — RG 104 AFS Licensing: Meeting the General Obligations
This regulatory guide provides information for Australian Financial Services (AFS) licensees and applicants about compliance with general obligations under section 912A(1) of the Corporations Act. It outlines what ASIC looks for during assessments of compliance.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
RG 105 — RG 105 AFS Licensing: Organisational Competence
This guide outlines the requirements for Australian financial services (AFS) licensees and applicants to meet the 'organisational competence obligation' under the Corporations Act. It provides clarity on compliance expectations relating to the qualifications, experience, and capability of key individuals within the licensee's organization.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
CPS 510 — Prudential Standard CPS 510 Governance
This is a prudential standard issued by the Australian Prudential Regulation Authority (APRA) to provide requirements for governance of regulated entities. It focuses on promoting sound corporate governance practices.
- Issuer
- Australian Prudential Regulation Authority (APRA)
- Jurisdiction
- Australia
RG 270 — RG 270 Whistleblower Policies
This guide provides entities with information on establishing whistleblower policies that comply with legal obligations under the Corporations Act. It includes guidance for both entities required to have such policies and those managing whistleblowing under legal frameworks.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
RG 259 — RG 259 Risk management systems of fund operators
This regulatory guide provides specific guidance for Australian financial services (AFS) licensees that are responsible entities or corporate directors (fund operators) on how to comply with their obligation under s912A(1)(h) of the Corporations Act 2001 to maintain adequate risk management systems.
- Issuer
- Australian Securities and Investments Commission (ASIC)
- Jurisdiction
- Australia
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