Compliance & Ethics

ASIC Form 545 is the statement a liquidator lodges to confirm that notices were sent to persons on the final list or supplementary list of contributories under Regulation 5.6.62. It must be lodged within one month of the notices being sent. Late lodgement triggers fees, and a form is not treated as lodged until ASIC accepts it. This is a procedural form, not a new rule, but it matters for compliance teams involved in insolvency and wind-up processes.

ASIC's Form 106 and its accompanying guide set out the limited circumstances in which a document already lodged on the public register can be withdrawn, namely duplication or an error where exceptional circumstances exist. Lodgement does not guarantee withdrawal, and many document types cannot be withdrawn at all. Compliance teams should treat lodgement accuracy as a front-end control, because corrections are discretionary and the withdrawn record stays visible.

ASIC's Form 506 (version dated 27 January 2021) requires liquidators, receivers, and controllers to notify ASIC of an address change within 14 days. Late lodgement triggers fees. Administrators, deed administrators, scheme administrators, and restructuring practitioners have no lodgement requirement. Insolvency practitioners and the firms that engage them should confirm their internal processes meet this deadline.

BaFin has warned that unknown callers are spoofing its telephone number to pressure consumers into transferring money. BaFin states it never contacts private individuals unsolicited by phone to request or demand transfers, and it does not use third parties to do so. Compliance teams should treat this as an impersonation-fraud and consumer-protection signal that calls for customer communication and updates to fraud controls.

A Deutsche Bundesbank discussion paper (No. 27/2026) finds that optimal monetary policy should still look through sectoral shocks, such as energy price spikes, even if inflation expectations may de-anchor. However, the nominal interest rate response needed to achieve the same output and inflation outcomes is more aggressive. The paper creates no compliance obligations, but it is relevant to institutions' interest rate risk, stress testing, and scenario planning.

The Ontario Securities Commission released its Investment Management Division Annual Summary Report for fiscal 2025-2026, outlining regulatory trends and policy priorities for fund managers and advisers. Key themes include ETF market growth, a proposed streamlined Fund Report, liquidity risk management, and an expanded Investment Fund Survey. Compliance teams should treat the report as a signal of upcoming supervisory focus and policy direction.

ASIC Form 522 is the notification a liquidator must lodge under section 496(7) of the Corporations Act 2001 after a creditors' meeting held to consider replacing the existing liquidator. It records the meeting date, whether a new liquidator was appointed, and the statement of assets and liabilities presented to creditors. Compliance and insolvency-related teams should confirm that their lodgement processes are accurate and signed correctly, because errors can create regulatory and reputational exposure. Note that this is a form (version dated 16 February 2015) and not a new rule, despite the 2026-09-15 date and "Press Release" label in the metadata.