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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.
Australian Securities and Investments Commission (ASIC) • 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.
Australian Securities and Investments Commission (ASIC) • Australia
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.
Australian Securities and Investments Commission (ASIC) • Australia
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.
Australian Securities and Investments Commission (ASIC) • Australia
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.
Australian Securities and Investments Commission (ASIC) • 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.
Australian Securities and Investments Commission (ASIC) • 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.
Australian Securities and Investments Commission (ASIC) • Australia
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