The Financial Services Resource Centre consolidates essential information from the regulator, ASIC, to assist in simplifying the numerous governance, risk management and compliance obligations Australian Financial Services (AFS) Licensees must address on a daily basis.

Legislation & Regulations

• Corporations Act 2001 (Cth)
• Corporations Regulations 2001 (Cth)

Regulatory Guides - AFS Licensees

• RG 36 Licensing: Financial Product Advice and Dealing
• RG 38 The Hawking Provisions
• RG 78 Breach Reporting for AFS Licensees
• RG 104 Licensing: Meeting Your General Obligations, Including Compliance and Risk Management
• RG 105 Licensing: Organisational Competence
• RG 126 Compensation and Insurance Arrangements for AFS Licensees Servicing Retail Clients
• RG 146 Licensing: Training of Financial Product Advisers
• RG 165 Internal and External Dispute Resolution for AFS Licensees Servicing Retail Clients
• RG 166 Licensing: Financial Requirements
• RG 168 Disclosure: Product Disclosure Statements (and Other Disclosure Obligations)
• RG 181 Licensing: Managing Conflicts of Interest
• List of All ASIC Publications Relevant to AFS Licensees

Additional Regulatory Guides - Managed Investment Schemes

• RG 94 Unit Pricing: Guide to Good Practice
• RG 132 Managed Investments: Compliance Plans
• RG 133 Managed Investments: Scheme Property Arrangements
• RG 134 Managed Investments: Constitutions
• List of All ASIC Publications Relevant to AFS Licensees Operating Managed Investment Schemes

Useful Links

• Australian Securities and Investments Commission
  www.asic.gov.au
• The Treasury - Consumer Credit Homepage
  www.treasury.gov.au/consumercredit
• Commonwealth Law
  www.comlaw.gov.au