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RG 78 — Regulatory Guide 78: Breach Reporting by AFS Licensees and Credit Licensees
This guide provides Australian Financial Services (AFS) licensees and credit licensees with instructions on reporting certain legal breaches to ASIC, as required under the Corporations Act 2001 and the National Consumer Credit Protection Act 2009.
Australian Securities and Investments Commission (ASIC) • Australia
RG 210 — Regulatory Guide 210: Compensation and Insurance Arrangements for Credit Licensees
ASIC Regulatory Guide 210 outlines the compensation and insurance arrangements required for credit licensees in Australia. It primarily mandates professional indemnity insurance to ensure financial resources are available for consumer compensation claims.
Australian Securities and Investments Commission (ASIC) • Australia • vMarch 2010
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