Find the Right GRC Solution

Search and compare GRC technology built for the problems you’re trying to solve

Compliance & Ethics

ASIC Form 210 Requires Notice of Special Share Rights Within 14 Days of Changes

ASIC's Form 210 must be lodged with any document that attaches, varies, or cancels rights on issued or unissued shares, or that binds a class of members. The lodgement window is 14 days and a fee applies. Compliance teams should confirm that corporate secretarial processes capture these triggers, because late or missed lodgement creates statutory non-compliance exposure.

ASIC Form CF06 Sets Lodgement Checklist for Cross-Guarantee Deeds Under Wholly-Owned Companies Relie

ASIC has published Form CF06 and an accompanying guide that standardize how deeds of cross-guarantee, assumption deeds, notices of disposal, and revocation deeds are lodged under ASIC Corporations (Wholly-owned Companies) Instrument 2016/785. Use of the form is optional, but it is designed to speed up ASIC's assessment. Compliance teams in corporate groups relying on financial reporting relief should use it to avoid rejected or late lodgements.

ASIC Form 581 Sets Requirements for Reinstating Deregistered Australian Companies

ASIC's Form 581 and accompanying guide set out how directors, secretaries, members, or third parties may apply for administrative reinstatement of a deregistered company under section 601AH of the Corporations Act 2001. The form is dated 22 March 2018 even though the item is listed under a 2026-09-16 date, so it appears to be a republished or re-surfaced existing form rather than a new rule. Compliance teams should treat it as a procedural reference for entity lifecycle management, counterparty due diligence, and legacy-entity remediation.

ESAs Issue Operational Instructions to Improve Quality and Consistency of DORA Major ICT Incident Re

On September 16, 2026, ESA staff published 14 operational instructions that clarify how major ICT-related incident data should be completed in DORA reporting templates. The instructions are not legal interpretations, but they show what supervisors expect for data quality. Compliance teams should align incident reporting procedures now to avoid rejected, inconsistent, or duplicated reports.

SEC Proposes Rescinding Rule 14a-8 and Modernizing Proxy Solicitation Requirements

The SEC has proposed rescinding Rule 14a-8, the federal shareholder proposal rule, which would leave shareholder proposals to state law and company governing documents. It also proposed amending Rule 14a-4(c) on discretionary proxy voting authority and streamlining proxy solicitation procedures. Compliance, legal, and corporate secretary teams should assess the effect on shareholder engagement, proxy processes, and governance documents, and consider submitting comments.

ASIC Form 403 Requires Verified Copy of Authority for Foreign Company Local Agent Appointments

ASIC's Form 403 (dated 17 January 2011, though listed here under a 2026 date) requires a foreign company to verify a true copy of the document authorizing someone to execute a memorandum of appointment or power of attorney for a local agent under section 601CG(2) of the Corporations Act 2001. It is a procedural form with no lodgement fee, not a new rule. Compliance teams supporting foreign entities registered in Australia should confirm that their filings and annexures meet its formal requirements.

ASIC Form 157 Sets Requirements for Name Changes of Companies Under External Administration

ASIC's Form 157 allows an external administrator, controller, or receiver to apply to change the name of a company under external administration. The administrator must certify that the change is in the interests of creditors as a whole. Compliance and restructuring teams should confirm the correct certification, signatory, and lodgement steps before filing. Note that the document is dated 2026-09-16 but the form itself carries a 1 July 2014 version date, so this appears to be a republication of an existing form rather than a new rule.