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Regulatory documents

Regulatory documents explain our approach in specific areas we regulate:

Consultation papers (CP)These documents seek feedback from stakeholders on matters ASIC is considering, such as proposed relief or proposed regulatory guidance.

Before 5 July 2007, these documents may have been issued as:
  • policy proposal papers (PPPs)
  • discussion papers
  • issues papers
  • other consultative documents

More information about the July 2007 changes.

Regulatory guides (RG)These documents give guidance to regulated entities by:
  • explaining when and how ASIC will exercise specific powers under legislation (primarily the Corporations Act)
  • explaining how ASIC interprets the law
  • describing the principles underlying ASIC’s approach
  • giving practical guidance (for example, describing the steps of a process such as applying for a licence or giving practical examples of how regulated entities may decide to meet their obligations).

Before 5 July 2007, these documents may have been issued as:
More information about theJuly 2007 changes.

Reports (REP)These documents describe ASIC compliance or relief activity or the results of a research project.
Information sheets (INFO)These documents provide concise guidance on a specific process or compliance issue or an overview of detailed guidance.


For information about Regulation Impact Statements (RIS), Business Cost Calculation (BCC) reports, our annual regulatory plan, or enforceable undertakings, see Other resources.


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