Compliance & Ethics

ASIC's Form 211 and accompanying guide set out how companies must notify the regulator of a division or conversion of share classes under section 246F of the Corporations Act 2001. The notice must be lodged within 14 days, and late lodgement fees apply. The form itself dates from November 2014, so the 2026-09-16 date appears to reflect a republication or catalog update rather than a new rule. Compliance teams should confirm their corporate secretarial processes still align with it.

The Autorité des marchés financiers (AMF) has published its RDT Guide on the procedures for reporting transactions under MiFIR. The update itself contains only the title and a download link, so its specific requirements cannot be confirmed from the text provided. Compliance teams should obtain and review the full guide to assess any effect on transaction reporting processes and controls.

ECB Supervisory Board member Sharon Donnery endorsed the High-Level Task Force's recommendation to consolidate the EU's macroprudential buffers into a non-releasable buffer and a releasable buffer. She also called for stronger micro-macroprudential coordination through an enhanced Macroprudential Forum. The speech is a policy signal, not a rule change, but it shows the likely direction of EU capital framework reform and matters for capital planning at EU-exposed banks.

ASIC's Form 1003 (ASCOT 7053) is the prescribed notice that unlisted disclosing entities use to lodge information under section 675 of the Corporations Act 2001. It must be lodged as soon as practicable after the entity becomes aware of the information, so compliance teams need clear internal escalation and sign-off processes. The document is an existing form dated 1 September 2018, not a new rule, although the metadata lists a 2026 date.

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 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'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.