Australian Securities and Investments Commission

Owning Institution:
Discussion paper

Retail investor trading during COVID-19 volatility

This paper outlines some early observations by ASIC staff on trading in securities and contracts for difference (CFDs) during the volatility caused by the COVID-19 pandemic (COVID-19 volatility). It was produced to inform our work in managing the impact of the COVID-19 pandemic and is...

Director and officer oversight of non‑financial risk report

This report sets out the Taskforce's observations on director and officer oversight of non‑financial risk. The seven financial services institutions selected for this review are those that many Australians are exposed to, through their personal and business banking, superannuation or insurance, or as shareholders.
Discussion paper

Whistleblower policies: consultation paper

This consultation paper seeks feedback on our proposed guidance for entities that must have a whistleblower policy - public companies, large proprietary companies and proprietary companies that are trustees of registrable superannuation entities.

ASIC update on implementation of Royal Commission recommendations

ASIC has provided this update on its planned actions in relation to the recommendations of the report of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.

Approval and oversight of compliance schemes for financial advisers

This guide sets out our approach to the approval and oversight of a monitoring body’s compliance scheme and how we expect a scheme to operate on an ongoing basis.