GRC Report Staff

ASIC's Form 5202 is the mandatory application used to register an additional sub-fund of an already-registered corporate collective investment vehicle (CCIV) under section 1222U of the Corporations Act 2001. It carries no lodgement fee or fixed deadline, but it requires detailed disclosures on investment strategy, asset types, share structure, and members, and it must be signed by an officer of the corporate director. Compliance teams should confirm that internal controls cover accuracy, consents, and naming rules before lodgement. Note that the form version is dated 1 July 2022, so this appears to be a republished existing form and not a new regulatory change.

EIOPA has confirmed that a fund investing predominantly in listed securities of issuers that primarily make or manage private equity or private debt should be classified under CIC 47 (Private Equity Funds) in Solvency II template S.06.02. Because the fund is listed, the CIC country prefix must reflect the listing venue, or be XV if the fund is listed in multiple countries. Insurers and asset managers should review their investment fund classifications to ensure consistent and accurate regulatory reporting.

ASIC's Form 5137 is the mandatory notification a responsible entity must lodge after appointing an auditor to a registered managed investment scheme, whether at initial registration or to fill a vacancy. The form must be lodged within 14 days of appointment, and late lodgement triggers fees. Compliance teams should confirm their auditor appointment workflows meet both the appointment and notification deadlines.

The European Banking Authority released its organization chart dated September 16, 2026. It is an internal structure document, not a new rule, but it identifies the teams and leaders responsible for AI Act implementation, PSD3/PSR implementation, DORA joint oversight, and Pillar 2 convergence. Compliance teams can use it to direct regulatory engagement and anticipate supervisory priorities.

EIOPA has confirmed that the SE.01.01 closed list will not yet include "Not due in accordance with instructions of the template" for S.36.05, even though Taxonomy v2.10.0 now treats S.36.05 as not due when its content is already reported in other S.36 templates. Any change is deferred to the next ITS amendments. Insurers must therefore use a workaround for now, and should plan for how it will be perceived by supervisors.

ASIC's Form 390 is the annual notice a holding entity must lodge when it does not prepare consolidated financial statements and its wholly-owned subsidiaries rely on relief under Instrument 2016/785. The notice must be lodged within 4 months after financial year-end, and it carries director-level attestations about the Deed of Cross Guarantee and the solvency of the Extended Closed Group. Compliance teams should confirm eligibility and lodgement processes so that subsidiary reporting relief is not lost.

ASIC has published Form 362/486 and an updated guide (dated April 2, 2025) for Australian companies that nominate or cease a registered agent or contact address. The update is administrative, but it affects corporate key handling and where ASIC sends official correspondence. Compliance teams should confirm that agent changes are lodged correctly so statutory notices are not missed.