GRC Report Staff

ASIC Form 7051 (ASX Form 1001) is the certification notice that disclosing entities must lodge with their half yearly reports under the Corporations Act 2001. Lodgement is due within 75 days after the end of the accounting period, and late lodgement triggers fees. The document appears to be an existing form and guide (dated 2011 and 2014), not a new rule, so compliance teams should treat it as a reminder to confirm their lodgement processes.

The Board of Appeal of the European Supervisory Authorities published a signed declaration of commitment and interests from alternate member Matthias Haentjens, as required by Article 59(6) of the ESA founding regulations. The filing is routine and creates no new obligations for regulated firms. It does reinforce the independence safeguards behind the appeals process that firms may use to challenge ESA decisions.

EIOPA argues that non-bank financial intermediation, especially insurer-held private credit, is necessary to meet EU investment needs. It also warns that growth must come with sound risk management, consistent definitions, and coordinated supervision. This is a thought-leadership article, not a binding rule. Even so, it signals supervisory priorities that insurers and other NBFI-exposed firms should expect to see in future reviews.

The SEC has issued two proposing releases. One would rescind Rule 14a-8 (the federal shareholder proposal rule) and amend Rule 14a-4 on discretionary proxy authority. The other would modernize four proxy solicitation rules. If adopted, shareholder proposal governance would shift largely to state law and company governing documents, and several federal filing and timing requirements would be eliminated or shortened. Compliance and corporate governance teams should begin assessing operational and legal impacts now and consider submitting comments.

ASIC's Form 105 is a cover page that must accompany each office copy of a court order lodged under the Corporations Act 2001. It is a procedural form and does not introduce new obligations, but errors in completing or lodging it can mean a filing is not treated as lodged and may incur late fees. Compliance and legal teams should confirm their lodgement processes match the form's requirements.

ASIC Form 5299 is the notification a corporate collective investment vehicle (CCIV) must lodge when it files half-yearly financial reports as a disclosing entity. Lodgement is due within 75 days after the end of the accounting period, and late lodgement triggers fees. Compliance teams should confirm that sub-fund reporting, director sign-off, and lodgement calendars are in place. Note that the form version is dated 1 December 2023, while the update is listed as 2026-09-16, so this appears to be a republication of an existing form rather than a new requirement.

The Norway Financial Supervisory Authority has listed a warning about AVCS Systemgroup Securities Pty Ltd, which the Dutch Authority for the Financial Markets (AFM) classified under its "boiler room" warnings. Compliance teams should treat the entity as a potential investment fraud risk and screen for any direct or indirect exposure.