GRCGuideline

RG 132

Regulatory Guide 132: Funds management: Compliance and oversight

This regulatory guide outlines compliance and oversight obligations for managed investment schemes, retail and wholesale corporate collective investment vehicles, and other related entities. It helps responsible entities understand their obligations under the Corporations Act and other relevant laws.

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Overview

RG 132 provides detailed guidance for responsible entities of registered managed investment schemes, corporate directors of retail corporate collective investment vehicles (CCIVs), and Australian passport fund operators. It also includes aspects relevant to wholesale scheme operators, IDPS operators, and MDA providers. The guide addresses oversight responsibilities involving compliance committees, compliance plan auditors, independent oversight entities, and annual implementation reviewers. It focuses on ensuring compliance with the Corporations Act and lays out expectations for legal and procedural integrity.

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