Monthly Updates

Click on the links to go to the latest version of each document.

Please note research updates are provided once the previous months figures have been reported by fund providers.

May  2022 Updates

Following the recent Responsible Manager training on Breach Reporting, we are pleased to release a new Breach Register with additional guidance and tools to support Licensees in meeting their breach reporting obligations.

The new Breach Register is designed to:

  1. Capture relevant information to assist Licensees to identify and assess incidents and breaches;
  2. Aid Licensees to determine if a breach is a reportable situation with information about the significance tests, example reportable situations, and links to additional resources;
  3. Record information needed to submit a reportable situation report to ASIC;
  4. Manage breaches through rectification and remediation, and identifying systemic breaches.

Additionally we have prepared a step-by-step procedure with screen shots to assist Licensees to navigate the ASIC Regulatory Portal when lodging a breach report.

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