ASIC — Corporations & Financial Services
9 production AI models covering the full ASIC regulatory envelope: Corporations Act 2001, AFSL/ACL obligations, Design and Distribution Obligations, continuous disclosure, director duties, and ASIC register corrections. Penalty unit: AUD 313 (FY2026, auto-indexed by ARIP-AU each 1 July).
Key Regulatory References
9 AI Models
Continuous monitoring of Corporations Act 2001 obligations — s.601AA, s.1017E, s.912A. Conformal 90% CI on penalty exposure.
Australian Financial Services Licence (AFSL) conditions monitor. Responsible Manager qualifications, breach reporting (s.912D), CPD tracking.
Design and Distribution Obligations (DDO) TMD reviews, target market assessments, review trigger monitoring (RG 274 compliant).
ASX Listing Rule 3.1 / Corporations Act s.674 continuous disclosure obligation monitor. Price-sensitive information classifier.
Director duties under Corporations Act ss. 180–184: care/diligence, good faith, proper purpose, no improper advantage.
ASIC company register reconciliation. Detects discrepancies and auto-generates Form 484 / 362A corrections via ACHO.
AASB compliance for Tier 1 & 2 reporters. Checks s.292–297 financial report preparation obligations.
Australian Credit Licence (ACL) obligations — NCCP Act, responsible lending, hardship obligations, credit guide accuracy.
Conformal 90% CI penalty quantifier for all 8 ASIC penalty categories. Penalty unit: AUD 313 (FY2026 indexed).
Example — AFSL Breach Query
curl -X POST https://your-instance/api/v1/audits/domains/asic \
-H "Authorization: Bearer $BP_API_KEY" \
-d '{
"entity_id": "ent_abc123",
"models": ["C-02", "C-09"],
"conformal_ci": 0.90
}'
# Response excerpt:
{
"model": "C-02",
"finding": "AFSL condition 6(a) breach: 2 of 3 RMs lack CPD compliance",
"penalty_exposure_aud": 1125000,
"conformal_lower_aud": 900000,
"conformal_upper_aud": 1420000,
"ci_coverage": 0.90,
"remediation": "ACHO auto-fix category: licence_condition_breach"
}