Current source position
Current official consolidated record last amended on 5 December 2025.
Source date: 5 December 2025
Official-route class: Exact Official Record
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Publication control: this page remains
noindex,follow. It does not represent that every Regulation, proviso, explanation, Schedule, form or amendment footnote has been reproduced. The controlling official text and event date prevail.Second-review gate
Extract every numbered Regulation, inserted suffix, proviso, explanation, Schedule and form; reconcile Gazette amendments and commencement clauses; then independently verify the map before any indexation decision.
Controlled analytical map
| # | Control domain | Decision question | Related route | Numbered anchors |
|---|---|---|---|---|
| 1 | Perimeter, definitions and registration | Does the activity require registration and which exclusions or connected activities alter the perimeter? | Related Finin2min operating layer | Provision extraction pending |
| 2 | Eligibility, capital and fit-and-proper | Which entry, infrastructure, financial and fit-and-proper conditions apply? | Related Finin2min operating layer | Provision extraction pending |
| 3 | Governance and responsible persons | Which board, compliance officer, principal officer or key-person controls apply? | Related Finin2min operating layer | Provision extraction pending |
| 4 | Client onboarding and agreements | What KYC, disclosures, agreements, suitability or mandate controls apply before service? | Related Finin2min operating layer | Provision extraction pending |
| 5 | Conduct, conflicts and fees | How must conflicts, inducements, segregation, pricing and conduct be controlled? | Related Finin2min operating layer | Provision extraction pending |
| 6 | Operations, records and reporting | Which operational, books, audit, periodic return and website requirements apply? | Related Finin2min operating layer | Provision extraction pending |
| 7 | Investor protection and complaints | What complaint, compensation, default, continuity or exit safeguards apply? | Related Finin2min operating layer | Provision extraction pending |
| 8 | Inspection, suspension and cancellation | What inspection, enquiry, enforcement and registration-consequence routes apply? | Related Finin2min operating layer | Provision extraction pending |
Amendment-lineage boundary: the date above is the current official consolidated/listing position identified on 28 July 2026. S3B-3 will create the clause-level amendment ledger, including commencement, substituted text, omitted text, saved proceedings and transitional operation.