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Consolidation of fundraising instruments and guidance

Important notice:听Fundraising and corporate finance documents are now lodged with ob体育 through the听. For more information, see听How you lodge fundraising and corporate finance documents.

Applications for relief should also be submitted through the ob体育 Regulatory Portal. Fees will apply to an application and details about payment options are provided in the portal. For more information see, how you apply for relief.

In March 2016 we consolidated 7 regulatory guides about disclosure documents into one new regulatory guide: Regulatory Guide 254 Offering securities under a disclosure document (RG 254).

We also moved our existing guidance in Superseded RG 213 Facilitating debt raising (SRG 213) 鈥� on the on-sale of quoted securities that are issued on the conversion of convertible notes issued to wholesale investors or otherwise without prospectus disclosure 鈥� into Regulatory Guide 173 Disclosure for on-sale of securities and other financial products (), and revoked SRG 213.

We also consolidated 26 sunsetting class orders into 13 new legislative instruments and repealed 5 class orders.

This page sets out cross-references to:

RG 254 Offering securities under a disclosure document

Section of RG 254 Topic of guidance Previous guidance
Section A Why we have disclosure document New guidance
Section A When a disclosure document is听required New guidance
Section A The various types of disclosure documents New guidance
Section A ob体育鈥檚 role New guidance
Section A Scope of this guide and summary of topics covered New guidance
Section A Other guidance issuers may need to consider New guidance
Section B Prospectuses SRG 56 and new guidance
Section B Short-form prospectuses New guidance
Section C Rationale for transaction-specific disclosure RG 66
Section C When transaction-specific听disclosure can be used RG 66
Section C Effect of suspensions from quotation and trading halts RG 66
Section C Content requirements for听transaction-specific prospectus RG 66
Section C ob体育鈥檚 exclusion powers鈥攕ection 713(6) RG 66
Section C Relief from enhanced disclosure听provisions RG 66
Section C Individual relief to use a transaction-specific prospectus RG 66
Section D Rationale for offer information听statements New guidance
Section D Content requirements for offer information statements New guidance
Section D Financial reports for offer听information statements SRG 157
Section D Relief for financial reports prepared for offer听information statements SRG 157
Section E Profile statements New guidance
Section E Two-part simple corporate bonds prospectus New guidance and SRG 213
Section F How to lodge a disclosure听document New guidance
Section F Our approach to withdrawing an offer under a disclosure听document New guidance
Section F Changes to disclosure documents听following lodgement SRG 23 and SRG听152
Section F Lodging electronic disclosure documents RG 107
Section F Application forms SRG 56 and SRG听152
Section F Relief for application forms SRG 56 and new guidance
Section G Exposure period requirements SRG 152 and new guidance
Section G Access to disclosure documents SRG 152
Section G What we will do to facilitate听access to disclosure documents SRG 152 and new guidance
Section G Where we will extend the exposure period SRG 152
Section G Relief from the exposure period SRG 152
Section G Applications for securities during the exposure period SRG 152
Section H When a supplementary or听replacement disclosure document is required SRG 23 and new guidance
Section H Form, content and procedure requirements SRG 23 and new guidance
Section H Consequences of lodging a听supplementary or replacement disclosure document New guidance
Section H Relief to consolidate supplementary disclosure documents SRG 23 and new guidance
Section I Quotation condition SRG 99 and new guidance
Section I Minimum subscription condition RG 228 and new guidance
Section I Relief for calculating time听periods New guidance
Section I Consequences of the minimum subscription condition and/or听quotation condition not being satisfied New guidance
Section I Relief to provide refresh听documents New guidance
Section J General prohibition on advertising and publicity SRG 158
Section J Relief for advertising and听publicity SRG 158
Section J How we monitor compliance with the advertising听prohibitions SRG 158
Section K Debenture prospectuses SRG 155
Section L Pre-lodgement review of disclosure documents SRG 152 and RG听228
Section L Post-lodgement review of听disclosure documents SRG 152 and new guidance
Section L What we look for when reviewing a disclosure document RG 228
Section L What we do when there are听disclosure concerns RG 228

RG 173 Disclosure for on-sale of securities and other financial products

Section of RG 173 Topic of guidance Previous guidance
Section B Relief to facilitate offers of convertible notes made听without prospectus disclosure SRG 213
Section B Relief for offers of bank听hybrids New guidance

Superseded class orders

Superseded class order New legislative instrument CP 239 proposal
[CO 00/168] Relief from exposure period: quoted securities ob体育 Corporations (Exposure Period) Instrument 2016/74 C3
[CO 00/169] Relief from exposure听period: supplementary and replacement prospectuses ob体育 Corporations (Exposure Period) Instrument 2016/74 C3
[CO 00/172] Offer information statements: relief in听relation to financial statements ob体育 Corporations (Offer Information Statements)听Instrument 2016/73 C5
[CO 00/173] Debenture 听 prospectuses: incorporation of information on application forms ob体育 Corporations (Debenture 听 Prospectuses) Instrument 2016/75 C4
[CO 00/174] Debenture prospectuses: updating of interest rate and term information ob体育 Corporations (Debenture Prospectuses) Instrument 2016/75 C4
[CO 00/175] Pre-prospectus 听 roadshow presentations ob体育 Corporations (Market听Research and Roadshows) Instrument 2016/79 C8
[CO 00/176] Pre-prospectus market research ob体育 Corporations (Market Research and Roadshows)听Instrument 2016/79 C8
[CO 00/190] Substituting and 听 consolidating supplementary disclosure documents ob体育 Corporations (Substituted 听 Supplementary Disclosure Documents) Instrument 2016/78 C7
[CO 00/195] Offer of convertible securities under s713 ob体育 Corporations (Offers of Convertibles) Instrument 2016/83 C12
[CO 00/656] Announcements to听securities exchanges about offers by subsidiaries of the listed body ob体育 Corporations (Market听Research and Roadshows) Instrument 2016/79 C8
[CO 00/843] Options over listed securities: exposure听period relief ob体育 Corporations (Exposure Period) Instrument 2016/74 C3
[CO 00/1092] Application form 听 relief for bonus issues of options ob体育 Corporations (Options: Bonus 听 Issues) Instrument 2016/77 C6
[CO 01/1455] Continuously quoted securities ob体育 Corporations (Disregarding Technical Relief)听Instrument 2016/73 C2
[CO 02/138] Announcements to听financial markets by holding companies about financial products other than securities ob体育 Corporations (Market听Research and Roadshows) Instrument 2016/79 C8
[CO 02/141] Experts: citing in Product Disclosure听Statements ob体育 Corporations (Consents to Statements) Instrument 2016/72 C1
[CO 02/143] Financial product 听 market research ob体育 Corporations (Market听Research and Roadshows) Instrument 2016/79 C8
[CO 02/145] Relief from exposure period: managed investment products able to be traded on a licensed financial market ob体育 Corporations (Exposure Period) Instrument 2016/74 C3
[CO 04/671] Disclosure for听on-sale of securities and other financial products ob体育 Corporations (Sale Offers听That Do Not Need Disclosure) Instrument 2016/80 C9
[CO 04/672] Extension of on-sale exemption ob体育 Corporations (Disregarding Technical Relief)听Instrument 2016/73 C2
[CO 07/428] Consent to quote: 听 Citing credit ratings, trading data and geological reports in disclosure听documents and PDS ob体育 Corporations (Consents to 听 Statements) Instrument 2016/72 C1
[CO 07/429] Consent to quote: Citing credit ratings听agencies, trading data and geological reports in takeovers ob体育 Corporations (Consents to Statements) Instrument听2016/72 C1
[CO 07/571] Disclosure exemption听for rights issues ob体育 Corporations (Disregarding 听 Technical Relief) Instrument 2016/73 C2
[CO 08/25] Sale offers within 12 months after controller听sales ob体育 Corporations (Sale Offers By Controllers) Instrument听2016/81 C10
[CO 08/35] Disclosure relief for 听 rights issues ob体育 Corporations听(Non-Traditional Rights Issues) Instrument 2016/84 C13
[CO 10/322] On-sale for convertible notes issued to 听 wholesale investors ob体育 Corporations (Sale Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82 C11
[CO 13/523] Citation of experts 听 and consent to quote ob体育 Corporations (Consents to 听 Statements) Instrument 2016/72 C1

Repealed class orders

Superseded class order CP 239 proposal
[CO 00/167] Relief from exposure period: profile statement D1
[CO 00/177] Fundraising听exemption: NZ prospectuses D2
[CO 00/188] Solicitors mortgage investment companies D4
[CO 00/229] Solicitors mortgage听investment companies D5
[CO 00/238] Dividend reinvestment plans D5

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Last updated: 20/03/2024 01:54