Compliance & Ethics

ASIC's Form 410 (version dated 1 July 2022) is the prescribed application for reserving a company, foreign company, registrable Australian body, or Corporate Collective Investment Vehicle (CCIV) name under the Corporations Act 2001. It is an existing form and guide, not a new rule, and the document's 2026 date appears to reflect republication rather than substantive change. Compliance teams should still confirm that entity formation, renaming, and registration workflows follow its timing, declaration, and signature requirements.

The Bank of England is changing the criteria that determine which firms must submit Form BT monthly. Monthly submission will generally apply only to firms that also file specified monthly Money and Credit returns (Forms BE, BN, GT or ER), and some current monthly filers will move to quarterly. Compliance teams should confirm their status once the Bank contacts them, because the effective dates and notice periods have not yet been published.

The Norway Financial Supervisory Authority (Finanstilsynet) has published a warning about corpagenesis-fr.net, a website that France's Autorité des Marchés Financiers (AMF) placed on its crypto-currency blacklist. The notice signals that the site is likely an unauthorized or fraudulent crypto-asset offering. Compliance teams should treat it as a cross-border red flag for screening, monitoring, and customer protection.

ASIC's Form 370 gives resigning or retiring company officeholders an optional way to notify ASIC directly of their departure, provided they attach a copy of their resignation letter. The 28-day lodgement window determines which cessation date ASIC records for a director, so timing matters for governance and liability. Note that the document is dated February 2021 and is a form with its guide, not a new rule or amendment.

The Belgian Financial Services and Markets Authority (FSMA) released a new version of its consumer-facing tool for comparing the costs of supplementary pension products. The tool benchmarks a product's costs against the average for similar products, which increases fee transparency and the likelihood that outliers will draw scrutiny. Compliance teams at pension product providers and distributors should review their cost disclosures and pricing against these benchmarks.

The Basel Institute for Governance announced a Norway-funded consortium initiative, running through the end of 2028, to disrupt corruption that enables illegal logging, timber trafficking, illegal mining, and carbon market fraud. It creates no new legal obligations, but it signals growing international attention to environmental corruption and the financial crime linked to it. Compliance teams should treat it as an indicator of emerging expectations for due diligence in forest-risk supply chains and carbon markets.

ASIC has published Form 529 (Notice of Meeting) and its accompanying guide, which set out how notice must be lodged for various creditor, member, contributor, and debenture holder meetings in insolvency contexts. The materials are not new substantive rules (the form is dated January 2011 and the guide July 2014), but they matter to compliance and insolvency-related teams because lodgement timing, signatory authority, and content requirements carry statutory consequences. Note that the press release date (2026-09-15) does not match the form's own dates, so teams should confirm whether anything has actually changed.