Compliance guides
Australian compliance guides
Plain-English guides to the compliance regimes Australian firms deal with — who must comply, the legal basis, the obligations, penalties and reporting requirements. Browse by jurisdiction below, and let Quillio help you apply each one to a live matter.
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- ACL Compliance — 10 Credit Licence Obligations 10 obligations every Australian Credit Licence holder must meet under the National Consumer Credit Protection Act 2009 (Cth). Covers responsible lending, hardship, and dispute resolution.
- ACSC ISM AU — 10 Information Security Obligations 10 ACSC Information Security Manual obligations. Governance, system certification, Essential Eight, cryptography, and event logging controls.
- Advertising Legal Services AU — 10 Rules 10 rules for advertising legal services in Australia. ASCR 36 misleading advertising, claim farming, personal injury restrictions, and ACL.
- AFSL Compliance — 10 Key Licence Obligations 10 obligations every AFSL holder must meet under the Corporations Act 2001 (Cth). Covers conduct, disclosure, training, breach reporting, and dispute resolution.
- Aged Care Act AU — 10 Provider Compliance Obligations 10 Aged Care Act obligations for Australian approved providers. Quality Standards, Serious Incident Response Scheme, Code of Conduct, and governance.
- AI Governance Compliance in Australia — 10 Obligations 10 AI governance obligations Australian organisations must address under the AI Ethics Framework, Privacy Act, and emerging regulatory guidance.
- AML/CTF Compliance for AU Law Firms — 10 Tranche 2 Obligations 10 AML/CTF obligations Australian law firms will need to comply with from 1 July 2026 under the Tranche 2 reforms. Customer due diligence, reporting, and program requirements.
- AML/CTF Tranche 2 for AU Lawyers — 10 Obligations Tranche 2 AML/CTF reforms bring Australian lawyers into scope. The 10 obligations firms should be preparing for now.
- APRA Prudential Standards for ADIs — 10 Obligations 10 key prudential obligations for authorised deposit-taking institutions under the Banking Act 1959 and APRA prudential standards. Capital, liquidity, governance, and risk management.
- APS Values AU — 10 Public Service Act Obligations 10 APS Values and Employment Principles obligations under the Public Service Act 1999 (Cth). Impartial, committed to service, accountable, respectful, ethical.
- ASIC Compliance for AU Companies — 10 Obligations 10 ASIC compliance obligations Australian companies must meet — annual reviews, director duties, financial reporting, and notification requirements.
- ASX Continuous Disclosure — 10 Core Obligations 10 continuous disclosure obligations for ASX-listed entities. ASX Listing Rule 3.1, Corporations Act s 674, materiality, carve-outs, and practical disclosure procedures.
- AU Casual Employees — 10 Compliance Duties Casual employees in Australia: 10 obligations under the Fair Work Act 2009 (Cth) covering definition, loading, conversion and the Information Statement.
- AU Client File Ownership — 10 Compliance Duties 10 obligations for handling client files in AU law firms. Ownership, access, transfer, lien over costs, and retention periods.
- AU Consumer Guarantees — 10 ACL Compliance Duties Consumer guarantees in Australia: 10 obligations under the Australian Consumer Law covering remedies, warranties and representations.
- AU Customs Compliance — 10 Import & Export Duties Australian import and export compliance: 10 obligations under the Customs Act 1901 (Cth) for classification, duty, prohibited goods and record keeping.
- AU E-Signing — 10 Electronic Transactions Act Duties E-signing in Australia: 10 obligations under the Electronic Transactions Act 1999 (Cth) and state equivalents for valid, enforceable electronic execution.
- AU Employee vs Contractor — 10 Employer Duties Employee or contractor in Australia: 10 employer duties under the Fair Work Act, Superannuation Guarantee and Taxation Administration Act.
- AU Food Labelling — 10 FSANZ Compliance Duties Food labelling in Australia: 10 obligations under the Food Standards Australia New Zealand Act 1991 (Cth) and state Food Acts.
- AU Land Tax — 10 State Compliance Duties Land tax in Australia: 10 owner obligations across state and territory Land Tax Acts, including PPR exemptions, trusts and foreign surcharges.
- AU Law Firm PI Insurance — 10 Compliance Duties 10 professional indemnity obligations for Australian law firms. Mandatory cover, run-off cover, state schemes, and claims handling.
- AU Lawyer Supervision — 10 Compliance Duties 10 supervision duties for AU law firms under ASCR r 37 and the Uniform Law. Principal supervision, junior lawyer oversight, and delegation.
- AU Mandatory Awards — 10 Employer Compliance Duties Modern awards and the National Employment Standards: 10 mandatory employer obligations under the Fair Work Act 2009 (Cth).
- AU Medical Device QA — 10 Compliance Duties Medical device quality assurance in Australia: 10 obligations under the Therapeutic Goods Act 1989 (Cth) and the Medical Devices Regulations 2002.
- AU Payroll Tax — 10 State Compliance Duties Payroll tax in Australia: 10 employer obligations across state and territory Payroll Tax Acts, including grouping, contractors and rebates.
- AU Product Safety — 10 ACCC / ACL Compliance Duties Product safety in Australia: 10 obligations under the Australian Consumer Law covering standards, bans, mandatory reporting and recalls.
- AU Sanctions Compliance — 10 Core Obligations 10 obligations under the Autonomous Sanctions Act 2011 (Cth) and UN sanctions regime. DFAT consolidated list, permit requirements, and financial sanctions.
- AU Scheme of Arrangement — 10 Compliance Duties 10 obligations for schemes of arrangement under Part 5.1 Corporations Act 2001 (Cth). Court process, ASIC role, scheme booklet, and thresholds.
- AU Single Touch Payroll — 10 STP Phase 2 Duties Single Touch Payroll in Australia: 10 obligations for STP Phase 2 reporting of wages, tax and super under the Taxation Administration Act 1953 (Cth).
- AU Spam Act Compliance — 10 Obligations 10 obligations under the Spam Act 2003 (Cth). Consent, identification, unsubscribe, and ACMA enforcement for email, SMS and instant messages.
- AU Super Guarantee — 10 Employer Obligations Superannuation Guarantee in Australia: 10 obligations for employers under the Superannuation Guarantee (Administration) Act 1992 (Cth).
- AU TGA Compliance — 10 Therapeutic Goods Duties Therapeutic goods in Australia: 10 obligations under the Therapeutic Goods Act 1989 (Cth) covering ARTG listing, advertising and adverse events.
- AU Unfair Contract Terms — 10 Compliance Duties 10 obligations under the unfair contract terms regime. Expanded to small businesses November 2023, with civil penalties up to $50M for breaches.
- AU Whistleblower Protections — 10 Compliance Duties 10 whistleblower obligations under the Corporations Act 2001 (Cth) Part 9.4AAA. Eligible disclosures, protected recipients, confidentiality, and policies.
- Beneficial Ownership Register AU — 10 BO Obligations 10 beneficial ownership register obligations for Australian companies. Tracing obligations, Corporations Act disclosures, and AML-CTF links.
- Cartel Conduct AU — 10 Compliance Obligations 10 obligations for avoiding cartel conduct under the Competition and Consumer Act 2010 (Cth). Price fixing, market sharing, bid rigging, and the immunity regime.
- Client Legal Privilege AU — 10 Duties and Waiver Risks Client legal privilege in Australia: 10 duties every law firm must manage to protect communications and avoid inadvertent waiver.
- Climate Disclosure ASRS Compliance — 10 Obligations 10 climate disclosure obligations under the Australian Sustainability Reporting Standards (ASRS) for large entities reporting from 2025.
- Complaints Handling for AU Law Firms — 10 Duties 10 duties Australian law firms must follow under the Uniform Law complaints and discipline framework, from consumer matters to professional misconduct.
- Conflicts of Interest for AU Law Firms — 10 Duties The 10 conflict of interest duties every Australian law firm must manage under the Solicitors' Conduct Rules and the Uniform Law.
- Consumer Data Right AU — 10 CDR Obligations 10 Consumer Data Right obligations for Australian data holders and accredited recipients. CDR Rules, privacy safeguards, consent, and accreditation.
- Costs Disclosure for AU Law Firms — 10 Obligations 10 costs disclosure obligations Australian law firms must meet under the Legal Profession Uniform Law and state equivalents.
- CPD Compliance for AU Lawyers — 10 Requirements 10 continuing professional development (CPD) requirements every Australian lawyer must meet each year under state and Uniform Law rules.
- Cybersecurity for AU Law Firms — 10 Compliance Obligations 10 cybersecurity obligations Australian law firms should meet — Privacy Act, OAIC guidance, professional rules, and practical security controls.
- Data Breach Notification for AU Law Firms — 10 Duties 10 duties Australian law firms must meet under the Notifiable Data Breaches scheme in the Privacy Act 1988 (Cth).
- Design & Distribution Obligations — 10 DDO Rules 10 obligations under ASIC's design and distribution regime for financial products. Covers target market determinations, review triggers, and distribution conditions.
- Director Duties AU — 10 Statutory Obligations 10 director duties under the Corporations Act 2001 (Cth). Care and diligence, good faith, proper purpose, insolvent trading, and the safe harbour.
- DISP AU — 10 Defence Industry Security Obligations 10 Defence Industry Security Program obligations. Governance, personnel, physical, and ICT security requirements for defence contractors.
- Electronic Signatures AU — 10 Execution Obligations Electronic signatures in Australia: 10 obligations under the Electronic Transactions Act and Corporations Act for valid execution of documents.
- Executive Remuneration AU — 10 Disclosure Obligations 10 executive remuneration disclosure obligations for Australian listed entities. Remuneration report, two-strikes rule, and clawback obligations.
- Export Controls AU — 10 Defence Trade Controls Obligations 10 Australian defence export controls obligations. Defence Trade Controls Act permits, DSGL, intangible transfers, AUKUS, and brokering.
- FBT Compliance for AU Employers — 10 Obligations 10 FBT compliance obligations Australian employers must meet under the Fringe Benefits Tax Assessment Act 1986. Reporting, payment, and record-keeping.
- FIRB Compliance for Foreign Investors — 10 Obligations 10 FIRB compliance obligations under the Foreign Acquisitions and Takeovers Act 1975. When approval is required and how to apply.
- Foreign Influence Scheme AU — 10 FITS Obligations 10 FITS obligations under the Foreign Influence Transparency Scheme Act 2018. Registration triggers, disclosure, and communications activity markings.
- GDPR for AU Businesses — 10 Extraterritorial Obligations 10 GDPR obligations Australian businesses face when handling EU personal data. Extraterritorial reach, lawful basis, DPO appointment, and breach timelines.
- Industrial Manslaughter AU — 10 Officer Obligations 10 industrial manslaughter compliance obligations for Australian officers. Due diligence under the WHS Act and state-based manslaughter offences.
- Insurance Claims Handling Reforms AU — 10 Rules 10 obligations under Australia's insurance claims handling reforms. Covers the AFSL requirement, conduct standards, timeframes, and consumer protections from January 2022.
- Mandatory PII Breach Reporting AU — 10 NDB Obligations 10 Notifiable Data Breaches obligations under Part IIIC Privacy Act 1988 (Cth). Assessment, containment, OAIC notification, and affected individual notices.
- Migration Agent Registration MARA — 10 Obligations 10 registration and compliance obligations for migration agents in Australia under the Migration Agents Registration Application legislation and OMARA Code of Conduct.
- Modern Award Pay Rates Compliance — 10 Obligations 10 obligations Australian employers must meet under the Fair Work Act 2009 for modern award pay rates, penalties, overtime, and allowances.
- Modern Slavery Act Compliance — 10 Reporting Obligations 10 obligations under the Modern Slavery Act 2018 (Cth) for Australian entities with annual revenue above $100 million. Statement requirements and reporting.
- National Registration Law AU — 10 AHPRA Obligations 10 National Law obligations for Australian registered health practitioners. AHPRA standards, mandatory notifications, CPD, and advertising rules.
- NDIS Quality and Safeguards — 10 Provider Obligations 10 NDIS Quality and Safeguards Commission obligations. Registration, Practice Standards, incident reporting, Code of Conduct, and worker screening.
- NGER Reporting Compliance — 10 Obligations 10 obligations under the National Greenhouse and Energy Reporting Act 2007 covering emissions thresholds, reporting deadlines, and audit requirements.
- Peppol E-Invoicing AU — 10 Compliance Obligations E-invoicing via the Peppol network in Australia: 10 obligations under the GST Act, Peppol Authority rules and Commonwealth procurement policy.
- Political Donations AU — 10 Disclosure Obligations 10 disclosure obligations for Australian political donations. Commonwealth Electoral Act thresholds, donor returns, and state-based regimes.
- Privacy Act Compliance for AU Law Firms — 10 Obligations 10 Privacy Act obligations Australian law firms must comply with. Australian Privacy Principles, notifiable data breaches, and AI tool implications.
- Public Sector Conduct AU — 10 Integrity Obligations 10 Commonwealth public sector conduct obligations. APS Code of Conduct, NACC referrals, procurement probity, and information handling duties.
- Record-Keeping for AU Law Firms — 10 Obligations The 10 record-keeping duties every Australian law firm should follow under the Uniform Law, Privacy Act and professional conduct rules.
- Responsible Lending Obligations AU — 10 Key Rules 10 responsible lending obligations under the National Consumer Credit Protection Act 2009. Covers inquiries, verification, suitability assessments, and record keeping.
- Security Classifications AU — 10 Cabinet Info Obligations 10 obligations for Cabinet and security-classified information. PSPF markings, National Cabinet documents, and handling rules from OFFICIAL to TOP SECRET.
- SOCI Act AU — 10 Critical Infrastructure Obligations 10 SOCI Act obligations for Australian critical infrastructure owners. Register, risk management programs, cyber incident reporting, and PSO declarations.
- SOCI Rules AU — 10 CIRMP and Reporting Obligations 10 SOCI Rules obligations covering CIRMP design, cyber hazard frameworks, incident reporting timeframes, and asset register updates.
- Telecommunications Compliance ACMA — 10 Obligations 10 key compliance obligations for Australian telecommunications carriers and service providers under the Telecommunications Act 1997 and ACMA regulation.
- Trust Account Audit AU — 10 Requirements 10 annual trust account audit requirements every Australian law firm must meet under the Legal Profession Uniform Law and state equivalents.
- Trust Accounting for AU Law Firms — 10 Obligations The 10 trust accounting obligations every Australian law firm must meet under the Legal Profession Uniform Law and state equivalents.
- Unfair Contract Terms in Financial Services — 10 Rules 10 obligations under the unfair contract terms regime for financial services contracts. Covers the 2022 penalty reforms, ASIC Act provisions, and contract review requirements.
- WHS Compliance for AU Employers — 10 Core Obligations 10 work health and safety obligations Australian employers must meet under the harmonised WHS framework. PCBU duties, consultation, and incident reporting.
NSW
- Building Practitioner Registration NSW — 10 Obligations 10 registration obligations for building practitioners in NSW under the Home Building Act 1989 and Design and Building Practitioners Act 2020.
- Conveyancer Licensing NSW — 10 Obligations 10 licensing and compliance obligations for licensed conveyancers in NSW under the Conveyancers Licensing Act 2003 and Conveyancers Licensing Regulation 2015.
- Occupational Licensing Compliance NSW — 10 Obligations 10 occupational licensing obligations in NSW covering builders, electricians, plumbers, real estate agents, and other licensed trades and professions.
- Real Estate Agent Licensing NSW — 10 Obligations 10 compliance obligations for licensed real estate agents in NSW under the Property and Stock Agents Act 2002. Covers trust accounts, agency agreements, and CPD.
- Strata Manager Licensing NSW — 10 Obligations 10 licensing and compliance obligations for strata managing agents in NSW under the Strata Schemes Management Act 2015 and Property and Stock Agents Act 2002.
VIC
- Occupational Licensing Compliance VIC — 10 Obligations 10 occupational licensing obligations in Victoria covering builders, plumbers, electricians, and other licensed trades under the Building Act 1993.
- Real Estate Agent Licensing VIC — 10 Obligations 10 compliance obligations for licensed estate agents in Victoria under the Estate Agents Act 1980. Covers trust accounts, commission disclosure, auctions, and CPD.