ASIC is consulting on expanded relief from Corporations Act restrictions on advertising unquoted securities before prospectus lodgement. Prospective issuers could communicate more broadly if advertisements identify the issuer and seller, explain where and when the prospectus will be available, ensure the prospectus is available by listing, and direct investors to it as the primary source for investment decisions. Submissions close on 11 September 2026.
Read briefingAustralia + New Zealand
Regulatory intelligence for people who actually have to deal with regulation.
Clear, structured summaries of the developments that matter for financial services compliance. No noise. No performative commentary.
Compliance Commons is being developed as an independent industry resource for Australia's financial services community, with selected New Zealand coverage.
The monitoring feed
Latest regulatory developments
The signals that carry practical implications for financial services organisations.
ASIC has applied to the Federal Court for orders restraining Royce Capital Investments, Royce (Aust) Real Estate, Louie Kortesis and Paul Chiodo from promoting or accepting Australian investment in three offshore funds, or financial products generally. ASIC alleges that Royce Capital raised $1.536 million from five Australian SMSF investors without holding an Australian financial services licence and that promotional brochures included misleading representations about guaranteed or fixed annual returns of 13 per cent.
Read briefingAPRA is consulting on amendments to superannuation reporting standards SRS 533.0, SRS 610.2 and associated definitions in SRS 101.0 as the collections move to APRA Connect. The proposals remove duplicated or unnecessary data, retain selected information used for publications and the MySuper performance test, and revoke SRS 001.0. Submissions close on 21 August 2026.
Read briefingFrom signal to response
Preparing for closer scrutiny of operational resilience
A practical framework for checking whether tolerance settings, scenario evidence and third-party oversight will stand up to supervisory review.
Explore the guide →Browse the knowledge system
Compliance topics
Explore regulatory signals within the domains most relevant to your responsibilities.
AML/CTF
Financial crime risk, reporting and program governance.
0 recent updates →02Financial Services Licensing
Licence conditions, obligations and breach reporting.
1 recent update →03Market Conduct
Product, disclosure and fair dealing expectations.
1 recent update →04Prudential Regulation
Capital, risk management and supervisory priorities.
1 recent update →05Privacy and Data Governance
Personal information, cyber and responsible data use.
0 recent updates →06Operational Resilience
Critical operations, service providers and continuity.
0 recent updates →07Governance and Accountability
Boards, executives, remuneration and oversight.
0 recent updates →08Consumer Protection
Customer outcomes, design and fair presentation.
0 recent updates →Featured from the professional register
Compliance expertise, when the answer requires depth.
Up to eight featured experts, with the full searchable register available separately.
Sean Graham
Managing Director · Assured Support
Financial services law · Compliance frameworks · GovernanceIan McDermott
Principal Lawyer · imac legal & compliance
Financial services law · Regulatory compliance · LicensingCristean Yazbeck
Managing Director · Hamilton Blackstone Lawyers
ASIC response · Regulatory assurance · MediationSam Hawke
Compliance expert · Financial advice sector
Regulatory compliance · Adviser practice · GovernanceUseful by design
Resources and tools
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Regulatory change triage checklist
A disciplined first-pass assessment for consultations, guidance, enforcement signals and legislative developments.
Open resource →Operational significance matrix
A practical model for distinguishing developments to monitor from those requiring review or action.
Open resource →Board regulatory update template
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Open resource →Editorial source register
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Compliance topics are informed by a defined source universe spanning primary law, regulators, professional bodies and selected practitioner analysis.
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Every published regulatory briefing should identify and link to its controlling primary source. Secondary publications may support discovery and interpretation, but they do not substitute for legislation, regulator material or the original decision.
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Compliance Commons is being developed as a standalone industry resource for people who carry the responsibility of navigating regulatory systems.
Updates are drawn from primary sources and selected for their practical significance. The aim is not to catalogue every announcement, but to surface the signals that genuinely affect compliance practice.
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