ASIC’s paper form era is nearly over

For insurance and financial services compliance teams, posting paper forms to the Australian Securities and Investments Commission (ASIC) for PDS and CCIV filings has been a persistent administrative friction point – particularly for time-sensitive submissions. As of June 23, that process can move to email for several of the most commonly used forms in those categories. The change is part of a 42-form addition to ASIC’s email lodgement list, bringing 97% of the regulator’s paper-based forms into the email channel and covering more than 32,000 annual lodgements. Email lodgement applies to forms not available through ASIC’s online portals, which remain the primary channel for eligible transactions.

The forms that matter to your firm

Six newly eligible forms are directly relevant to insurance and financial services compliance teams. For most firms, the highest-priority forms to check against existing workflows will be Form 1003, Form 5289, and Form 5290, which relate to disclosure obligations and product changes that can arise at short notice. The full six are listed below – confirm trigger conditions for each at asic.gov.au before updating your processes.

• Form 1003 – disclosure notice for unlisted disclosing entities. Applies when an unlisted disclosing entity is required to notify ASIC of a disclosure document that cannot be lodged through the online portal.
• Form 5288 – PDS in-use notice for a CCIV sub-fund. Applies when a product issuer begins using a PDS for a sub-fund of a CCIV.
• Form 5289 – notice of fee and charge changes in a CCIV sub-fund PDS. Applies when fees or charges disclosed in a CCIV sub-fund PDS are being updated.
• Form 5290 – notice that a product in a CCIV sub-fund PDS has ceased to be available. Applies when a product previously offered under a CCIV sub-fund PDS is withdrawn from offer.
• Form 5298 – financial statements and reports of a CCIV. Applies when a CCIV is required to lodge periodic financial statements and reports.
• Form 5299 – half-yearly CCIV reports. Applies when a CCIV is required to lodge its half-year financial report.

Read next: Bryan Davis: What separates the brokers who lead from the ones who follow

What else was added on June 23

Beyond the PDS and CCIV forms, the June 23 release also cleared company reinstatements, court orders, contact address appointments, foreign company accounts, certain notice-of-resolution types not available online, and correction requests that cannot be processed through ASIC’s digital channels. Two earlier releases – one in 2025 and another in March 2026 – had already cleared approximately 70% of ASIC’s paper lodgements for email submission. The June release addresses most of what remained.

Regulatory simplification: further workflow changes expected

The June release sits within a multi-year simplification program ASIC has been running since at least 2025. In September of that year, ASIC published REP 813 Regulatory Simplification, its first formal account of the program, which called on stakeholders to submit ideas for further reform. A follow-up progress report, REP 830 Regulatory Simplification Progress Report, published in May 2026, reflects on submissions received in response to REP 813.

Earlier steps included a pilot consolidation of 23 legislative instruments and sector-specific regulatory roadmaps for financial advice businesses. The simplification work is supported by the ASIC Simplification Consultative Group, co-chaired by ASIC chair Joe Longo and Nicola Wakefield-Evans, drawing members from consumer advocacy, business, and industry organisations. ASIC has described the program as ongoing – meaning compliance teams should expect further lodgement and workflow changes as it progresses. Monitoring ASIC’s simplification updates at asic.gov.au will help your firm stay ahead of changes before they affect filing deadlines.

Read next: ASIC targets regulatory clutter with digital, guidance overhaul

What to do now

Compliance managers at insurance firms should take three steps before their next filing deadline:

• Identify which of the six forms above are currently part of your lodgement workflows, prioritising Form 1003, Form 5289, and Form 5290.
• Update any internal processes that default to postal submission for those forms to use email instead.
• Check two locations at asic.gov.au: the full list of forms eligible for email lodgement and the “How to lodge forms” page for formatting requirements and submission instructions – both should be reviewed before your next lodgement.

Electronic signature requirements

Because this change moves submissions to email, it also makes ASIC’s electronic signature rules newly relevant for many compliance teams. A valid electronic signature is either one applied directly on a touchscreen using a finger or stylus or a digital image of a handwritten signature inserted into the form. The provision does not cover documents that must be certified as true copies or solemn documents – such as affidavits and statutory declarations – signed in jurisdictions where electronic execution is not permitted by law. Electronic signatures are accepted on both emailed and mailed forms where a portal option does not exist.