Road map - dealing with ASIC

Applying for relief

Application procedures
RG 21 How ASIC charges fees for relief applications
RG 51 Applications for relief
RG 92 Procedural fairness to third parties
RG 108 No-action letters

Reports on our previous decisions

REP 34

Overview of decisions on relief applications from financial service providers (October 2003 to August 2004)
REP 39

Overview of decisions on relief applications from financial service providers (August to December 2004)
REP 49

Overview of decisions on relief applications from financial service providers (January to April 2005)
REP 65

Overview of decisions on relief applications from financial service providers (May to August 2005)
REP 71

Overview of decisions on relief applications from financial service providers (September to December 2005)
REP 77

Overview of decisions on relief applications (January to March 2006)
REP 81

Overview of decisions on relief applications (April to June 2006)
REP 88

Overview of decisions on relief applications (July to September 2006)
REP 95

Overview of decisions on relief applications (October to December 2006)
REP 97

Overview of decisions on relief applications (January to May 2007)
REP 111

Overview of decisions on relief applications (June to August 2007)
REP 124

Overview of decisions on relief applications (September to November 2007)
REP 133

Overview of decisions on relief applications (December 2007 to March 2008)
REP 142

Overview of decisions on relief applications (April to July 2008)
REP 150

Overview of decisions on relief applications (August to November 2008)
REP 162

Overview of decisions on relief applications (December 2008 to March 2009)
REP 184

Overview of decisions on relief applications (April to July 2009)
REP 274 Overview of decisions on relief applications (June 2011 to September 2011)

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Breach reporting

RG 78 Breach reporting for AFS licensees
RG 108 No-action letters
INFO 52 Protection for whistleblowers

Making complaints

RG 92 Procedural fairness to third parties
INFO 33 Getting your money back
INFO 52 Protection for whistleblowers

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Hearings, investigations and enforcement

RG 8 Hearings practice manual
RG 15 Enforcement action—no undertakings
RG 47 withdrawn - see INFO 151 and INFO 152
RG 52 Enforcement action submissions
RG 103 Confidentiality and release of information
INFO 1 Administrative hearings
INFO 12 ASIC search information and fees
INFO 151 ASIC’s approach to enforcement
INFO 152 Public comment

Banning and disqualification
RG 98 Licensing: Administrative action against financial services providers
RG 180 Auditor registration
RG 186 External administration: Liquidator registration
INFO 14 Bankruptcy and personal insolvency agreements
INFO 26 Dealing with businesses and companies: How to avoid being swindled

Investigations
REP 1

Reports of investigation: Spedley Securities Ltd
REP 2

Reports of investigation: Burns Philp and Co Ltd

Enforceable undertakings
RG 100 Enforceable undertakings

Infringement notices
RG 73 Continuous disclosure obligations: infringement notices

Hearings
RG 8 Hearings practice manual
INFO 1 Administrative hearings

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Getting information from ASIC

INFO 26 Dealing with businesses and companies: How to avoid being swindled
INFO 92 Probity request procedures for overseas regulators

ASIC's public registers
INFO 12 ASIC search information and fees
INFO 21 Company alert - An ASIC internet service
INFO 38 Identical names check - an ASIC internet service
INFO 51 Professional registers

Release of confidential information
RG 92 Procedural fairness to third parties
RG 103 Confidentiality and release of information

Intervention and 3rd party proceedings

RG 4 Intervention
RG 142 Schemes of arrangement and ASIC review

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Lodging documents with ASIC

RG 16 External administrators—reporting and lodging
RG 152 Lodgment of disclosure documents
INFO 8 ASIC corporate key
INFO 21 Company alert - An ASIC internet service
INFO 30 Fees for commonly lodged documents
INFO 37 How to avoid late fees
INFO 57 Software you need
INFO 77 What you need to know about registered agents

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Review of ASIC decisions

RG 52 Enforcement action submissions
RG 57 Notification of rights of review
INFO 9 ASIC decisions - your rights

Serving legal documents on ASIC

RG 17 Fees for subpoenas
RG 18 Serving legal documents on the ASC

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ASIC Website: Printed 05/17/2012

Topic
Applying for relief - Application procedures - Reports on our previous decisions Breach reporting Making complaints Hearings, investigations and enforcement - Banning and disqualification - Investigations - Enforceable undertakings - Infringement notices - Hearings	Getting information about ASIC - ASIC's public registers - Release of confidential information Intervention and 3rd party proceedings Lodging documents with ASIC Review of ASIC decisions Serving legal documents with ASIC

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