RG 132 Funds management: Compliance and oversight
Issued 23 June 2022
This guide is for:
- responsible entities of registered managed investment 91AVs (registered 91AVs); and
- Australian passport fund operators.
Parts of this guide are also relevant for:
- wholesale managed investment 91AV operators;
- investor directed portfolio service (IDPS) operators; and
- managed discretionary account (MDA) providers.
Aspects of this guide are also relevant to those with oversight responsibilities, including compliance committees, independent oversight entities, compliance plan auditors and annual implementation reviewers.
It gives guidance on the compliance and oversight obligations these entities must meet under the Corporations Act and other legal obligations.