{"name":"Line4 regulatory submissions library","licence":"Line4's own text, and the way Line4 has collected and arranged these records, are licensed under CC BY 4.0. The facts themselves (names, codes, dates, frequencies, formats) belong to no one. The regulators' document titles, template names, quoted terms and documents belong to the regulators and are not covered by this licence: see each regulator's reuse terms. Not affiliated with or endorsed by any regulator.","license_url":"https://creativecommons.org/licenses/by/4.0/","credit":"Source: Line4 regulatory submissions library (CC BY 4.0), https://www.line4.ai","last_checked":"2026-11-13","url":"https://www.line4.ai/regulatory-returns","regulators":[{"id":"asic","last_checked":"2026-11-13","regulator":{"name":"Australian Securities and Investments Commission","short_name":"ASIC","country":"Australia","country_code":"AU","region":"Asia-Pacific","website":"https://asic.gov.au/","what_it_does":"ASIC is Australia's integrated corporate, markets, financial services and consumer credit regulator. Its purpose is to monitor and promote market integrity and consumer protection in the Australian financial system, through enforcement and compliance, regulation and supervision, registry and licensing, and engagement and education.","source":"https://download.asic.gov.au/media/3szc4q04/asic-2025-annual-report-ch-2-agency-overview.pdf"},"scope":{"text":"Periodic and event-driven returns that AFS licensees, credit licensees and companies lodge directly with ASIC under the Corporations Act 2001 and the National Consumer Credit Protection Act 2009: AFS licensee annual accounts and audit reports, the credit licensee annual compliance certificate, breach reporting of reportable situations, OTC derivative transaction reporting, short position reporting, companies' Chapter 2M annual financial reports, and registered schemes' compliance plan audit reports. Left out: AUSTRAC's anti-money-laundering reporting (a separate regulator), market operator and market integrity rules reporting (not verified live this round, see gaps), the electronic lodgment route some listed entities use with their market operator instead of ASIC directly, auditor and liquidator registration statements, superannuation prudential returns APRA also collects, and ASIC's own registers and search services (which hold the data but are not a return a firm files).","source":"https://www.legislation.gov.au/C2004A00818/latest/downloads"},"submission_systems":[{"name":"ASIC Regulatory Portal","what":"Where AFS licensees submit their annual financial statements (Form FS70, with Form FS71 attached) and lodge a reportable situation report in the form ASIC prescribes.","url":"https://asic.gov.au/online-services/asic-portals/asic-regulatory-portal-access","source":"https://download.asic.gov.au/media/gxrjl02q/rg166-published-21-october-2026.pdf"},{"name":"Australian Credit Register Portal","what":"Where a credit licensee logs in, from its annual compliance date, to complete and submit its annual compliance certificate.","url":"https://asic.gov.au/online-services/asic-portals/credit-licensees-and-credit-representatives/","source":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"}],"licence":{"name":"Copyright and linking to our websites","quote":"publishers and other people may reproduce verbatim, content from 10 classes of documents ... under a Creative Commons (CC) BY Attribution 4.0 International licence, without asking for further permission from ASIC","url":"https://asic.gov.au/about-asic/dealing-with-asic/using-our-website/copyright-and-linking-to-our-websites","checked":"2026-11-13","redistribution":"allowed with conditions","conditions":"The CC BY 4.0 permission covers only 10 named classes of ASIC document: regulatory guides, information sheets, reports, consultation papers, media releases and other Newsroom information, legislative instruments (including class orders, rules, orders and determinations), pro forma documents, ASIC forms without ASIC's logo, ASIC annual reports, and short selling position reporting data. Reproduction must be verbatim and must acknowledge ASIC's ownership. The ASIC logo and the Commonwealth Coat of Arms are excluded, and reproducing any other ASIC web page needs ASIC's prior permission, though it may still be linked. Every fact recorded here was drawn only from those 10 classes or from Commonwealth legislation on legislation.gov.au; other asic.gov.au pages were used only as where-to-go links.","decision":"link-only","decision_reason":"ASIC's CC BY 4.0 permission is broad enough to allow copies of the 10 named classes, but this library never hosts or copies a regulator's own documents, so only links, sizes and hashes are kept here.","required_notice":"© Australian Securities & Investments Commission. Material drawn from ASIC's regulatory guides, information sheets, forms, pro forma documents, legislative instruments and annual reports (https://asic.gov.au) is used under the Creative Commons Attribution 4.0 International licence (https://creativecommons.org/licenses/by/4.0/); this library summarises it in plain English and links the originals."},"public_filed_data":[{"name":"Short position reports","level":"aggregate","description":"The total of all short positions reported for each product, published for every reporting day, four days after that day (T+4), with no seller identified.","url":"https://asic.gov.au/regulatory-resources/markets/short-selling/short-position-reports-table/","format":"Other","returns":["short-position-reporting"],"reuse":"Short selling position reporting data is one of the 10 classes of ASIC content covered by the CC BY 4.0 permission in ASIC's copyright and linking terms, so these published totals may be reproduced and redistributed with attribution; see the licence section.","source":"https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting"},{"name":"Company annual financial reports (Chapter 2M)","level":"firm-level","description":"Copies of financial reports, directors' reports and auditor's reports lodged under Chapter 2M, available to any person who inspects them or asks ASIC for a copy.","url":"https://asic.gov.au/regulatory-resources/forms/forms-folder/388-copy-of-financial-statements-and-reports","format":"PDF","returns":["chapter-2m-financial-reports","compliance-plan-audit-report"],"reuse":"No reuse terms specific to this dataset were found; it sits outside the 10 CC BY 4.0 classes and outside this round's research, so see the licence section for ASIC's general terms rather than any specific permission for these documents.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"}],"gaps":["ASIC's market integrity rules (for example the ASIC Market Integrity Rules (Securities Markets) 2017) appear to require market participants to lodge a periodic return, such as an Annual Audited Return, but the current rule book's text was not read live this round within the request budget, so no market integrity rules return is built here.","Regulatory Guide 78, last updated 21 October 2026, describes the investigation-continuation trigger for a reportable situation as running for 'more than 60 days', but the Corporations Act and National Consumer Credit Protection Act text available on the Federal Register of Legislation on the day of this build (compiled 19 September 2026 and 1 July 2026) still reads 'more than 30 days'. Both figures are recorded in the reportable situations return; which one currently binds a licensee was not resolved further.","Whether a credit licensee's lodged annual compliance certificate is covered by any public-inspection or confidentiality rule under the National Consumer Credit Protection Act was not checked; only the Corporations Act's own document-inspection rule (s1274), which does not apply to that Act, was read.","A limited AFS licensee that does not deal with client money can lodge an annual compliance certificate (Form FS76) instead of an audited profit and loss statement and balance sheet; this alternative is noted in the AFS licensee accounts and audit return's who_files text but is not built as a separate return.","An entity that must prepare a sustainability report lodges a related Form 398 alongside its Chapter 2M return; this is noted in that return's templates text but Form 398 itself is not built as a separate return.","AUSTRAC's anti-money-laundering and counter-terrorism-financing reporting, ASIC's auditor and liquidator registration statements, and APRA's prudential returns from dually regulated entities were all left out of scope, as they are either a different regulator's return or outside this round's brief."],"sources":[{"title":"Copyright and linking to our websites","url":"https://asic.gov.au/about-asic/dealing-with-asic/using-our-website/copyright-and-linking-to-our-websites"},{"title":"ASIC Annual Report 2024-25, Chapter 2: Agency overview","url":"https://download.asic.gov.au/media/3szc4q04/asic-2025-annual-report-ch-2-agency-overview.pdf"},{"title":"Regulatory Guide 166: AFS licensing: Financial requirements","url":"https://download.asic.gov.au/media/gxrjl02q/rg166-published-21-october-2026.pdf"},{"title":"Regulatory Guide 78: Breach reporting by AFS licensees and credit licensees","url":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},{"title":"Regulatory Guide 196: Short selling","url":"https://download.asic.gov.au/media/4896780/rg196-published-8-october-2018.pdf"},{"title":"Information Sheet 98: Short selling: Short position reporting","url":"https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting"},{"title":"Information Sheet 135: Annual compliance certificates for credit licensees","url":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"},{"title":"Pro Forma 209: Australian financial services licence conditions","url":"https://download.asic.gov.au/media/dral4ul5/pf-209-published-7-may-2026.pdf"},{"title":"Form FS70, Form FS71, Form 388, Form CL50 and Form 5111 (forms pages)","url":"https://asic.gov.au/regulatory-resources/forms/forms-folder/388-copy-of-financial-statements-and-reports"},{"title":"ASIC Derivative Transaction Rules (Reporting) 2024","url":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},{"title":"ASIC Corporations (Short Selling) Instrument 2018/745","url":"https://www.legislation.gov.au/F2018L01356/2026-02-03/2026-02-03/text/original/pdf"},{"title":"ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024/620","url":"https://www.legislation.gov.au/F2024L01202/latest/details"},{"title":"Corporations Act 2001 (Volumes 2 to 6)","url":"https://www.legislation.gov.au/C2004A00818/latest/downloads"},{"title":"Corporations Regulations 2001 (Volume 3)","url":"https://www.legislation.gov.au/F2001B00274/latest/downloads"},{"title":"National Consumer Credit Protection Act 2009 (Volume 1)","url":"https://www.legislation.gov.au/C2009A00134/latest/downloads"}],"returns":[{"id":"afs-licensee-accounts-audit","code":"FS70 / FS71","name":"AFS licensee annual accounts and audit report","official_name":"Australian financial services licensee profit and loss statement and balance sheet (Form FS70) and auditor's report for Australian financial services licensee (Form FS71)","group":"Licensee financial requirements","status":"in force","purpose":{"text":"Each AFS licensee must prepare a true and fair profit and loss statement and balance sheet for the financial year and lodge it with ASIC, together with an auditor's report that also states whether the licensee complied with ASIC's financial requirements (the conditions set out in Pro Forma 209). ASIC uses this to check that a licensee stays financially sound enough to run its business and meet client obligations.","source":"https://download.asic.gov.au/media/gxrjl02q/rg166-published-21-october-2026.pdf"},"who_files":{"text":"Every AFS licensee, except a limited licensee that is not required to comply with the audit requirement (one that does not deal with money under Division 2 of Part 7.8 of the Corporations Act); that licensee can instead lodge a compliance certificate, but it must still lodge financial statements.","source":"https://download.asic.gov.au/media/gxrjl02q/rg166-published-21-october-2026.pdf"},"frequency":{"value":"annual","text":"Once for each financial year of the licensee.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4"},"deadline":{"text":"Unless ASIC extends it, the statement and balance sheet must be lodged before the day that is 2 months after the end of the financial year for a licensee that is not a body corporate, or 3 months for one that is (Corporations Act s989D(1)). For a body corporate, a modification in the Corporations Regulations changes that split to 3 months after the end of the financial year for a disclosing entity or registered scheme, and 4 months for any other body corporate (reg 7.8.14A).","source":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3"},"formats":{"values":["Web form","PDF"],"text":"Form FS70 is completed within the ASIC Regulatory Portal's 'Submit Australian financial services licence annual financial statements' transaction, as Regulatory Guide 166 itself describes (RG 166.337). Form FS71's own lodgement guide confirms it is a downloadable PDF: the auditor completes and signs it, the licensee then submits it electronically as an attachment to that same transaction, and the licensee must keep the signed copy under ASIC's Electronic Lodgement Protocol.","source":"https://download.asic.gov.au/media/stwlujas/auditor-s-report-for-australian-financial-services-licensee.pdf"},"legal_basis":[{"title":"Corporations Act 2001, s989B (licensee to prepare and lodge annual profit and loss statement and balance sheet), s989D (time of lodgment) and s912AA (audit requirement)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4"},{"title":"Corporations Regulations 2001, reg 7.8.14 (contents) and reg 7.8.14A (modifying the body corporate lodgment period)","url":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3"}],"templates":{"count":2,"items":[{"code":"FS70","name":"Profit and loss statement and balance sheet"},{"code":"FS71","name":"Auditor's report, including on compliance with ASIC's financial requirements"}],"note":"ASIC's Pro Forma 209 (standard AFS licence conditions) sets out, at condition 28, the specific statements the auditor's report under FS71 must contain.","source":"https://download.asic.gov.au/media/dral4ul5/pf-209-published-7-may-2026.pdf"},"documents":["rg166","pf209","fs70-form","fs71-form","corp-act-ch7-licensing","corp-regs-ch7","corp-act-ch9-registers"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No standalone, published catalogue of automated edit checks for FS70/FS71 was found among the regulatory guide, pro forma and forms pages read. The auditor instead tests compliance against the named conditions of Pro Forma 209.","source":"https://download.asic.gov.au/media/dral4ul5/pf-209-published-7-may-2026.pdf"},"public_data":{"level":"none found","text":"A document lodged under a provision of Chapter 7 of the Corporations Act, which includes FS70 and FS71 under Part 7.8, is expressly carved out of the general public right to inspect documents lodged with ASIC.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"},"sources":["https://download.asic.gov.au/media/gxrjl02q/rg166-published-21-october-2026.pdf","https://download.asic.gov.au/media/dral4ul5/pf-209-published-7-may-2026.pdf","https://www.asic.gov.au/regulatory-resources/forms/forms-folder/fs71-auditor-s-report-for-australian-financial-services-licensee","https://download.asic.gov.au/media/stwlujas/auditor-s-report-for-australian-financial-services-licensee.pdf","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4","https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"]},{"id":"credit-licensee-compliance-certificate","code":"CL50","name":"Credit licensee annual compliance certificate","official_name":"Australian credit licence annual compliance certificate (Form CL50)","group":"Credit licensee obligations","status":"in force","purpose":{"text":"A credit licensee must certify, every year it holds the licence, that it has complied with its obligations as a licensee, and give ASIC current details of its business, its credit activities and the people named on its licence.","source":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"},"who_files":{"text":"Every holder of an Australian credit licence, for each year it holds the licence. The certificate must be signed by the licensee itself if it is a natural person, by a person of a kind the regulations prescribe if it is a body corporate, or by a partner or trustee who performs duties relating to credit activities if it is a partnership or trust.","source":"https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1"},"frequency":{"value":"annual","text":"Once in each year of the licence, measured from the licensee's annual compliance date (the anniversary of the day its licence was issued, or another date ASIC has approved).","source":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"},"deadline":{"text":"No later than 45 days after the licensee's annual compliance date each year (National Consumer Credit Protection Act 2009 s53(1)). ASIC may extend the day by written notice.","source":"https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1"},"formats":{"values":["Web form"],"text":"Completed and lodged online, from the annual compliance date, through the Australian Credit Register Portal. A $25 fee applies only if the licensee does not lodge electronically.","source":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"},"legal_basis":[{"title":"National Consumer Credit Protection Act 2009, s53 (obligation to lodge annual compliance certificate)","url":"https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1"}],"templates":{"count":0,"items":[],"note":"Section 53 of the National Consumer Credit Protection Act 2009 requires a licensee to lodge one annual compliance certificate, in the form ASIC approves; the Act does not describe it as made up of separate schedules.","source":"https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1"},"documents":["info135","cl50-form","nccp-act-licensing"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No standalone, published catalogue of edit checks was found on the pages read; Information Sheet 135 instead gives a lodgement checklist.","source":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"},"public_data":{"level":"none found","text":"No ASIC-published dataset or public-inspection right for the content of an individual certificate was confirmed from an allowed source this round; this was not re-checked against the National Consumer Credit Protection Act's own register and confidentiality provisions, which are separate from the Corporations Act's document-inspection rule.","source":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees"},"sources":["https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees","https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1"]},{"id":"reportable-situations","code":"Reportable situations report","name":"Breach reporting (reportable situations)","official_name":"Report of a reportable situation under s912DAA/s912DAB of the Corporations Act 2001 or s50B/s50C of the National Consumer Credit Protection Act 2009","group":"Licensee conduct obligations","status":"in force","status_note":{"text":"Regulatory Guide 78, last updated 21 October 2026, now describes the investigation-continuation trigger (an investigation into a possible significant breach that itself becomes a reportable situation once it runs on too long) as running for 'more than 60 days'. The Corporations Act and National Consumer Credit Protection Act text available on the Federal Register of Legislation on the day of this build, compiled 19 September 2026 and 1 July 2026, still reads 'more than 30 days' for that same trigger. Both figures are recorded here rather than guessed between; the 30-day deadline for lodging a report once a reportable situation has arisen is unaffected and confirmed directly in both Acts.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"purpose":{"text":"AFS licensees and credit licensees must tell ASIC about a defined range of conduct the law calls 'reportable situations': significant breaches or likely significant breaches of their core obligations, investigations into a possible significant breach that run on too long, the outcome of such an investigation, conduct amounting to gross negligence or serious fraud, and certain conduct by a representative that is also reportable to the representative's own licensee.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"who_files":{"text":"Every AFS licensee and every credit licensee, whenever it has reasonable grounds to believe a reportable situation has arisen for it or, in some cases, for another licensee.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"frequency":{"value":"event-driven","text":"Only when a reportable situation arises; there is no routine periodic filing.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"deadline":{"text":"Within 30 days after the licensee first knows, or is reckless as to whether, there are reasonable grounds to believe a reportable situation has arisen (Corporations Act s912DAA(3); National Consumer Credit Protection Act s50B(4), which uses the same 30-day period for credit licensees).","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4"},"formats":{"values":["Web form"],"text":"Lodged in ASIC's prescribed form through the ASIC Regulatory Portal; ASIC also offers a Reportable Situations Application Programming Interface for licensees that want to submit transactions directly from their own systems.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"legal_basis":[{"title":"Corporations Act 2001, s912D (meaning of reportable situation), s912DAA and s912DAB (obligation to lodge a report)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4"},{"title":"National Consumer Credit Protection Act 2009, s50A (what are reportable situations), s50B and s50C (obligation to lodge a report)","url":"https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1"},{"title":"ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024/620","url":"https://www.legislation.gov.au/F2024L01202/latest/details"}],"templates":{"count":0,"items":[],"note":"A single report; ASIC's prescribed form asks a series of questions about the nature, cause and impact of the reportable situation and what the licensee has done about it.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"documents":["rg78","breach-reporting-instrument","corp-act-ch7-licensing","nccp-act-licensing","corp-act-ch9-registers"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No standalone, published catalogue of edit checks was found; RG 78 instead gives detailed guidance and worked examples for each question in the prescribed form.","source":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf"},"public_data":{"level":"none found","text":"A document lodged under a provision of Chapter 7 of the Corporations Act, which includes a reportable situation report under Part 7.6, is expressly carved out of the general public right to inspect documents lodged with ASIC. ASIC separately publishes aggregate breach-reporting statistics from time to time in its own reports, but no specific current report of that kind was verified this round.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"},"sources":["https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf","https://www.legislation.gov.au/F2024L01202/latest/details","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4","https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"]},{"id":"derivative-transaction-reporting","code":"Derivative transaction report","name":"OTC derivative transaction reporting","official_name":"Reporting under the ASIC Derivative Transaction Rules (Reporting) 2024","group":"Markets and derivatives","status":"in force","status_note":{"text":"The current rules were made on 20 December 2022 as the ASIC Derivative Transaction Rules (Reporting) 2022, then substantially amended and retitled the 'ASIC Derivative Transaction Rules (Reporting) 2024'; the amended rules commenced on 21 October 2024.","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"purpose":{"text":"Requires entities that deal in over-the-counter (OTC) derivatives to report their transactions, and changes to them, to a licensed or prescribed derivative trade repository, so that regulators have visibility of derivatives activity and systemic risk in the market.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4"},"who_files":{"text":"Entities the rules list as 'Reporting Entities': Australian ADIs, AFS licensees and CS facility licensees that are a counterparty to the OTC derivative, wherever it is entered into; foreign CS facility licensees for OTC derivatives entered into with an Australian entity; and certain other foreign entities (a foreign ADI with an Australian branch, an AFS licensee or an exempt foreign licensee) for OTC derivatives entered into with a retail client here, booked to an Australian branch, or that are a 'nexus derivative'. An entity is not a Reporting Entity for a class of derivative its AFS licence does not cover it to deal in.","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"frequency":{"value":"event-driven","text":"For each reportable transaction (entering into, modifying, terminating or assigning an OTC derivative, or changing how it is recorded), and for later changes to the information already reported.","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"deadline":{"text":"For the core transaction details, by the end of the second business day in Sydney after the day the reportable transaction occurs.","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"formats":{"values":["XML"],"text":"Reported in a machine-readable form, in accordance with an ISO 20022 message definition covering the required Derivative Transaction Information, using the XML tags of that message definition (for example DerivativesTradeReportV04, auth.030.001.04, for transaction and valuation reporting).","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"legal_basis":[{"title":"Corporations Act 2001, s901A (ASIC may make derivative transaction rules)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4"},{"title":"ASIC Derivative Transaction Rules (Reporting) 2024","url":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"}],"templates":{"count":0,"items":[],"note":"Not divided into separate schedules or forms; the required data items are set out in the rules' own Derivative Transaction Information table.","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"documents":["derivative-transaction-rules-2024","corp-act-ch7-licensing","corp-act-ch9-registers"],"validation_rules":{"published":true,"count":null,"where":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf","machine_readable":true,"rule_format":"The ISO 20022 message definition each reporting entity uses sets the structure and codes a report must use; the rules themselves exempt a report from an item the current message definition does not yet include.","note":"No separate, additional catalogue of edit checks beyond the ISO 20022 message definition was found on the pages read.","source":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf"},"public_data":{"level":"none found","text":"A document lodged under a provision of Chapter 7 of the Corporations Act, which includes a derivative transaction report under Part 7.5A, is expressly carved out of the general public right to inspect documents lodged with ASIC.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"},"sources":["https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"]},{"id":"short-position-reporting","code":"Short position report","name":"Short position reporting","official_name":"Seller and licensee disclosure of short positions under s1020AB/s1020AC of the Corporations Act 2001","group":"Markets and derivatives","status":"in force","purpose":{"text":"A seller who covers a short sale of a listed security or managed investment product through a securities lending arrangement must disclose details of the sale and of their resulting short position, so ASIC and the market can see the level of short selling in a product. A low-volume, low-value short position is exempt from the ongoing position disclosure.","source":"https://www.legislation.gov.au/F2018L01356/2026-02-03/2026-02-03/text/original/pdf"},"who_files":{"text":"A seller with a short position in a listed section 1020B product (generally securities or managed investment products) arising from a securities lending arrangement, where the position's value exceeds $100,000 or 0.01% of the product on issue, whichever limit it is measured against; a seller may lodge directly or authorise a submitting entity to report on its behalf.","source":"https://www.legislation.gov.au/F2018L01356/2026-02-03/2026-02-03/text/original/pdf"},"frequency":{"value":"daily","text":"On every ASIC Sydney-office business day (a 'reporting day') for as long as the seller holds a short position above the exempt threshold.","source":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3"},"deadline":{"text":"By 9am on the third reporting day after the agreement to sell that causes the short position, and by 9am on every subsequent reporting day the seller still has a short position, whether or not the position has changed (Corporations Regulations 2001 reg 7.9.100(4)).","source":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3"},"formats":{"values":["Other"],"text":"ASIC receives every short position report as a Financial Information eXchange (FIX) protocol 'position report' message; a reporting solution must pass ASIC's conformance test before it is allowed to submit live reports.","source":"https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting"},"legal_basis":[{"title":"Corporations Act 2001, s1020B (prohibition of certain short sales) and s1020AB (seller disclosure)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/5"},{"title":"Corporations Regulations 2001, Division 15 of Part 7.9 (reg 7.9.99 to reg 7.9.102)","url":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3"},{"title":"ASIC Corporations (Short Selling) Instrument 2018/745","url":"https://www.legislation.gov.au/F2018L01356/2026-02-03/2026-02-03/text/original/pdf"}],"templates":{"count":0,"items":[],"note":"A single recurring position report; not divided into separate schedules.","source":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3"},"documents":["rg196","info98","short-selling-instrument","corp-act-ch7-disclosure","corp-regs-ch7"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"FIX session and interface conformance tests check that a reporting solution's messages meet the FIX PositionReport rules in ASIC's own FIX Rules of Engagement, but no separate published catalogue of substantive edit checks on the reported figures was found.","source":"https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting"},"public_data":{"level":"aggregate","text":"ASIC publishes the total of all short positions reported for a product on a given reporting day on its website four days later (T+4); these published totals never name the sellers.","url":"https://asic.gov.au/regulatory-resources/markets/short-selling/short-position-reports-table/","format":"Other","source":"https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting"},"sources":["https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting","https://download.asic.gov.au/media/4896780/rg196-published-8-october-2018.pdf","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/5","https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3","https://www.legislation.gov.au/F2018L01356/2026-02-03/2026-02-03/text/original/pdf"]},{"id":"chapter-2m-financial-reports","code":"388","name":"Company annual financial report","official_name":"Annual financial report, directors' report and auditor's report lodged under Chapter 2M of the Corporations Act 2001 (Form 388)","group":"Company financial reporting","status":"in force","purpose":{"text":"A company, registered scheme or other entity Chapter 2M of the Corporations Act covers must prepare a true and fair annual financial report and a directors' report, have them audited, and lodge copies with ASIC, so investors, creditors and the public can see the entity's financial position.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"who_files":{"text":"All disclosing entities, all public companies, all large proprietary companies, all registered schemes and all registrable superannuation entities; a small proprietary company only if ASIC or its shareholders direct it to, or if it was foreign-controlled or had a crowd-sourced-funding shareholder during the year.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"frequency":{"value":"annual","text":"Once for each financial year; a disclosing entity must also lodge a half-year report.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"deadline":{"text":"Within 3 months after the end of the financial year for a disclosing entity, registered scheme, registrable superannuation entity or notified foreign passport fund; within 4 months for anyone else (Corporations Act s319(3)). A report amended after lodgment must be lodged again within 14 days of the amendment.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"formats":{"values":["Web form"],"text":"Section 350 of the Corporations Act requires this report to be lodged in the form the regulations prescribe or, failing that, the form ASIC has approved; section 352 lets ASIC approve the manner and format for lodging it, which the Act notes 'could be electronic', and requires ASIC to publish that approval on its own website rather than setting it out in the Act itself.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"legal_basis":[{"title":"Corporations Act 2001, Chapter 2M, especially s292 (who must prepare), s301 (audit) and s319 (lodgment with ASIC)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"}],"templates":{"count":1,"items":[{"code":"388","name":"Copy of financial statements and reports"}],"note":"A single report, built from the annual financial report, directors' report and auditor's report that Chapter 2M requires (Corporations Act 2001 s292, s301, s319); an entity that must also prepare a sustainability report under the Act's sustainability reporting provisions (for example s292A, s301A) lodges that as a further, separate report alongside it.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"documents":["form388-form","corp-act-ch2m"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No standalone, published catalogue of automated edit checks was found; the accounting standards and the auditor's own work set the content requirements.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2"},"public_data":{"level":"firm-level","text":"A document lodged under Chapter 2M is not one of the classes of document Chapter 9 of the Corporations Act excludes from public inspection, so any person may inspect it, or ask ASIC for a copy, under the Act's general document-inspection right.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"},"sources":["https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"]},{"id":"compliance-plan-audit-report","code":"5111","name":"Compliance plan audit report","official_name":"Compliance plan audit report of a registered scheme (Form 5111)","group":"Managed investment schemes","status":"in force","purpose":{"text":"A registered scheme's compliance plan sets out how the responsible entity will meet its duties and the law. An independent auditor must examine the plan every year and report whether the responsible entity complied with it, and whether the plan still meets the law's requirements.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3"},"who_files":{"text":"The responsible entity of a registered scheme, which must keep an eligible auditor engaged at all times to audit compliance with the scheme's compliance plan, and must lodge the auditor's report with ASIC.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3"},"frequency":{"value":"annual","text":"Once for each financial year of the scheme.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3"},"deadline":{"text":"The auditor must give the responsible entity its report within 3 months after the end of the scheme's financial year (Corporations Act s601HG(3)); the responsible entity must then lodge that report with ASIC at the same time as the scheme's Chapter 2M financial statements and reports are due (s601HG(7)), which is also 3 months after the end of the financial year for a registered scheme.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3"},"formats":{"values":["PDF"],"text":"Form 5111's own guide gives the lodgement method: the form is downloaded, completed and signed, with the auditor's s601HG report attached, then posted to ASIC (PO Box 4000, Gippsland Mail Centre VIC 3841). The form's guide gives no email or online lodgement option, and allows extra pages to be photocopied or an annexure added if there is not enough space on the form itself.","source":"https://download.asic.gov.au/media/4797059/5111_20180704.pdf"},"legal_basis":[{"title":"Corporations Act 2001, s601HG (audit of compliance plan)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3"}],"templates":{"count":1,"items":[{"code":"5111","name":"Compliance plan audit report of a registered scheme"}],"note":"A single cover form (ASIC Form 5111, made under Corporations Act 2001 s601HG(7)) with the auditor's own report attached to it; the form's guide provides for extra pages to be photocopied or an annexure added, rather than dividing the return into separate schedules.","source":"https://download.asic.gov.au/media/4797059/5111_20180704.pdf"},"documents":["form5111-form","corp-act-ch5c"],"validation_rules":{"published":false,"count":null,"where":null,"machine_readable":false,"note":"No standalone, published catalogue of edit checks appears in Form 5111 or its own guide, which instead gives signing, attachment and annexure requirements.","source":"https://download.asic.gov.au/media/4797059/5111_20180704.pdf"},"public_data":{"level":"firm-level","text":"A document lodged under Chapter 5C is not one of the classes of document Chapter 9 of the Corporations Act excludes from public inspection, so any person may inspect it, or ask ASIC for a copy, under the Act's general document-inspection right.","source":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"},"sources":["https://download.asic.gov.au/media/4797059/5111_20180704.pdf","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3","https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6"]}],"documents":[{"id":"rg166","title":"Regulatory Guide 166: AFS licensing: Financial requirements","url":"https://download.asic.gov.au/media/gxrjl02q/rg166-published-21-october-2026.pdf","role":"guidance","file_type":"pdf","downloadable":true,"size_bytes":1686018,"sha256":"4a31a86577ded566a5ea08faef64a545d897aadf0f40e7a74fcad369013ac899","date":"2023-09","note":"Issued September 2023; most recently updated in October 2026 to reflect increases to the net tangible assets requirement from 1 July 2027."},{"id":"rg78","title":"Regulatory Guide 78: Breach reporting by AFS licensees and credit licensees","url":"https://download.asic.gov.au/media/rcflopko/rg78-published-19-december-2023-20261021.pdf","role":"guidance","file_type":"pdf","downloadable":true,"size_bytes":1153566,"sha256":"78e0ae86bed31802c675a977a8b43349bb6a2198d660c774fa11b5246e789d85","date":"2023-12","note":"Reissued December 2023; most recently updated 21 October 2026, when ASIC changed its description of the investigation-continuation trigger from 'more than 30 days' to 'more than 60 days' (see the reportable situations return's status note)."},{"id":"rg196","title":"Regulatory Guide 196: Short selling","url":"https://download.asic.gov.au/media/4896780/rg196-published-8-october-2018.pdf","role":"guidance","file_type":"pdf","downloadable":true,"size_bytes":702248,"sha256":"3808d46bb29fdb6e911666e64e0e608d5b4dafb38c4b2f3612ca55597ce5613d","date":"2018-10-08","note":"An overview of the short selling provisions of the Corporations Act and Corporations Regulations, including the reporting and disclosure obligations."},{"id":"info98","title":"Information Sheet 98: Short selling: Short position reporting","url":"https://www.asic.gov.au/regulatory-resources/markets/short-selling/short-selling-reporting-short-position-reporting","role":"guidance","file_type":"html","downloadable":true,"size_bytes":76846,"sha256":null,"date":"2016-08","note":"Published as a web page that states it is Information Sheet 98 (INFO 98); describes the FIX protocol reporting channel and the T+4 public disclosure of aggregate short positions."},{"id":"info135","title":"Information Sheet 135: Annual compliance certificates for credit licensees","url":"https://www.asic.gov.au/for-finance-professionals/credit-licensees/your-ongoing-obligations-as-a-credit-licensee/annual-compliance-certificates-for-credit-licensees","role":"guidance","file_type":"html","downloadable":true,"size_bytes":80479,"sha256":null,"date":null,"note":"Published as a web page that states it is Information Sheet 135 (INFO 135); gives the 45-day lodgement deadline and the Australian Credit Register Portal lodgement route."},{"id":"pf209","title":"Pro Forma 209: Australian financial services licence conditions","url":"https://download.asic.gov.au/media/dral4ul5/pf-209-published-7-may-2026.pdf","role":"instructions","file_type":"pdf","downloadable":true,"size_bytes":655310,"sha256":"f0f8dc944e3814135a71d80f21816eecb3c71ace65c5d68d8278ec16707ca578","date":"2026-05-07","note":"Condition 27/28 sets out the auditor's opinion an AFS licensee must lodge with ASIC at the same time as its FS70/FS71 lodgment."},{"id":"fs70-form","title":"Form FS70: Submit Australian financial services licence annual financial statements","url":"https://www.asic.gov.au/regulatory-resources/forms/forms-folder/submit-australian-financial-services-licence-annual-financial-statements","role":"template","file_type":"html","downloadable":true,"size_bytes":67676,"sha256":null,"date":null,"note":"ASIC's own forms page for Form FS70, which has no separate paper or PDF version and is lodged only through the ASIC Regulatory Portal; states the form's purpose, lodging period and legislative references."},{"id":"fs71-form","title":"Form FS71: Auditor's report for Australian financial services licensee","url":"https://download.asic.gov.au/media/stwlujas/auditor-s-report-for-australian-financial-services-licensee.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":584601,"sha256":"ec581c7741ccf3685b8dfd226b7eeed93cadb750b2db44f651c46d3737b09fc2","date":"2025-07-15","note":"Downloadable PDF form, then lodged online alongside Form FS70 through the ASIC Regulatory Portal."},{"id":"form388-form","title":"Form 388: Copy of financial statements and reports","url":"https://asic.gov.au/regulatory-resources/forms/forms-folder/388-copy-of-financial-statements-and-reports","role":"template","file_type":"html","downloadable":true,"size_bytes":72642,"sha256":null,"date":null,"note":"ASIC's own forms page for Form 388, lodged only through the auditor, company officeholder or registered agent portal; lists the entity-specific sub-forms (388A to 388L) and the lodging periods."},{"id":"cl50-form","title":"Form CL50: Australian credit licence annual compliance certificate","url":"https://asic.gov.au/regulatory-resources/forms/forms-folder/cl50-australian-credit-licence-annual-compliance-certificate","role":"template","file_type":"html","downloadable":true,"size_bytes":67364,"sha256":null,"date":null,"note":"ASIC's own forms page for Form CL50, lodged only through the Australian Credit Register Portal."},{"id":"form5111-form","title":"Form 5111: Compliance plan audit report of a registered scheme","url":"https://download.asic.gov.au/media/4797059/5111_20180704.pdf","role":"template","file_type":"pdf","downloadable":true,"size_bytes":152601,"sha256":"6e55186e96d32c2e256b498f58f5e3ea24fe28b56ddfab1056ce2eae099212c8","date":"2018-07-04","note":"Downloaded, completed, signed and posted to ASIC's lodgement address as a PDF with the audit report attached; the form's own guide gives no email or online lodgement option (corrected 13 Nov, batch 12b: the form was re-read and its guide gives a postal address, not an email one)."},{"id":"breach-reporting-instrument","title":"ASIC Corporations and Credit (Breach Reporting - Reportable Situations) Instrument 2024/620","url":"https://www.legislation.gov.au/F2024L01202/latest/details","role":"legal text","file_type":"html","downloadable":true,"size_bytes":63558,"sha256":null,"date":null,"note":"A legislative instrument, made under both the Corporations Act and the National Consumer Credit Protection Act, that modifies the definition of 'core obligation' used in s912D(3) and s50A(3); its existence and effect are described in RG 78."},{"id":"short-selling-instrument","title":"ASIC Corporations (Short Selling) Instrument 2018/745","url":"https://www.legislation.gov.au/F2018L01356/2026-02-03/2026-02-03/text/original/pdf","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":410678,"sha256":"307b9e3c5efe8a874a1c46aa634b006b6bc379603485108a336fafc3920bd9d0","date":"2026-02-03","note":"Made under s1020F(1) of the Corporations Act; sets the $100,000 value limit and 0.01% volume limit below which a short position is exempt from ongoing disclosure."},{"id":"derivative-transaction-rules-2024","title":"ASIC Derivative Transaction Rules (Reporting) 2024","url":"https://www.legislation.gov.au/F2022L01706/2025-10-20/2025-10-20/text/original/pdf","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":564869,"sha256":"9e5471e43e2f34eb89e9d07efd633ac2eb1be581ca37c85653c0dcbc94122060","date":"2025-10-20","note":"Made under s901A of the Corporations Act; commenced 21 October 2024, replacing the 2022 reporting rules."},{"id":"corp-act-ch2m","title":"Corporations Act 2001, Volume 2 (Chapter 2M, financial reports, sustainability reports and audit)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/2","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":3168715,"sha256":"89c3cb90d1dc2cb6132aaf998a1c96cc1a29720febf1b24b0cf1263bee7d2035","date":"2026-09-19","note":"Compilation No. 149, registered 1 October 2026. Sections 292 to 320 set the Chapter 2M return relied on here."},{"id":"corp-act-ch5c","title":"Corporations Act 2001, Volume 3 (Chapter 5C, managed investment schemes)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/3","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":2098378,"sha256":"4238445d73ae6e4e130ea8f3abe7d7c5d12f5c21ba7770b9bb5e3782af19f388","date":"2026-09-19","note":"Compilation No. 149, registered 1 October 2026. Section 601HG sets the compliance plan audit return relied on here."},{"id":"corp-act-ch7-licensing","title":"Corporations Act 2001, Volume 4 (Chapter 7, Parts 7.5A to 7.8: derivative transaction rules, licensing and licensee obligations)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/4","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":3502047,"sha256":"71d51cb2df9d7e0f59798180ebb25562a9d07397cddbb2a643618fa8c0527998","date":"2026-09-19","note":"Compilation No. 149, registered 1 October 2026. Sections 901A, 912D, 912DAA, 912DAB, 989B and 989D set the derivative transaction rules, breach reporting and FS70/FS71 returns relied on here."},{"id":"corp-act-ch7-disclosure","title":"Corporations Act 2001, Volume 5 (Chapter 7, Part 7.9, financial product disclosure and other provisions)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/5","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":2929461,"sha256":"63ddf06ef5ff1b9be80979ae129cd37fc9f4e7d023004fddce54d2938bdf633b","date":"2026-09-19","note":"Compilation No. 149, registered 1 October 2026. Sections 1020B and 1020AB set the short position reporting return relied on here."},{"id":"corp-act-ch9-registers","title":"Corporations Act 2001, Volume 6 (Chapter 9, registers kept by ASIC)","url":"https://www.legislation.gov.au/C2004A00818/2026-09-19/2026-09-19/text/original/pdf/6","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":2780057,"sha256":"2d0cc0837b74b55db462b4b67dd036e56d98ffcc37e1ee577210c172aa227532","date":"2026-09-19","note":"Compilation No. 149, registered 1 October 2026. Section 1274 sets the general public right to inspect documents lodged with ASIC, and excludes most documents lodged under Chapter 7 from that right."},{"id":"corp-regs-ch7","title":"Corporations Regulations 2001, Volume 3 (Chapter 7, Parts 7.7 to 7.12)","url":"https://www.legislation.gov.au/F2001B00274/2026-09-01/2026-09-01/text/original/pdf/3","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":1733322,"sha256":"59695c45b20e3675e247af5a3f4132c3e49d15355aca4ec36dabb71d3f0a80c4","date":"2026-09-01","note":"Compilation No. 214, registered 7 September 2026. Regulations 7.8.14, 7.8.14A and Division 15 of Part 7.9 (reg 7.9.99 to reg 7.9.102) set the lodgment and short position reporting detail relied on here."},{"id":"nccp-act-licensing","title":"National Consumer Credit Protection Act 2009, Volume 1 (Chapter 2, licensing of persons who engage in credit activities)","url":"https://www.legislation.gov.au/C2009A00134/2026-07-01/2026-07-01/text/original/pdf/1","role":"legal text","file_type":"pdf","downloadable":true,"size_bytes":2152970,"sha256":"b182f26a815804e175ea14de36bbe6f5fd3f4b8ed7ba59c89eb2a3d070b51ae0","date":"2026-07-01","note":"Compilation No. 52, registered 28 July 2026. Sections 50A to 50C set the credit licensee breach reporting obligation, and section 53 the annual compliance certificate obligation, relied on here."}]}]}