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Road map - dealing with ASIC



Other topics | About the road map

Topic


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 203 Overview of decisions on relief applications (August to November 2009)
REP 217 Overview of decisions on relief applications (December 2009 to May 2010)
REP 226 Overview of decisions on relief applications (June to September 2010)
REP 241 Overview of decisions on relief applications (October 2010 to January 2011)
REP 252 Overview of decisions on relief applications (February to May 2011)
REP 274 Overview of decisions on relief applications (June 2011 to September 2011)
REP 288 Overview of decisions on relief applications (October 2011 to January 2012)
REP 303 Overview of decisions on relief applications (February to May 2012)
REP 325 Overview of decisions on relief applications (June to September 2012)
REP 344 Overview of decisions on relief applications (October 2012 to January 2013)
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Breach reporting


RG 78 Breach reporting for AFS licensees
RG 108 No-action letters
RG 238 Suspicious activity reporting
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
INFO 153 How ASIC deals with reports of misconduct
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Hearings, investigations and enforcement


INFO 151 ASIC’s approach to enforcement

Investigations
INFO 145 ASIC's compulsory information gathering powers
INFO 151 ASIC’s approach to enforcement
INFO 152 Public comment
INFO 153 How ASIC deals with reports of misconduct
INFO 165 Claims of legal professional privilege
INFO 172 Cooperating with ASIC
RG 15 Enforcement action—no undertakings
RG 52 Enforcement action submissions
RG 103 Confidentiality and release of information

Banning and disqualification
RG 98 Licensing: Administrative action against financial services providers
RG 180 Auditor registration
RG 186 External administration: Liquidator registration
RG 218 Administrative action against persons engaging in credit activities
INFO 14 Bankruptcy and personal insolvency agreements

Enforceable undertakings
RG 100 Enforceable undertakings

Infringement notices
RG 73 Continuous disclosure obligations: infringement notices
RG 216 Markets Disciplinary Panel

Hearings
RG 8 Hearings practice manual
INFO 1 Administrative hearings

Enforcement outcomes
REP 281 ASIC enforcement outcomes: July to December 2011
REP 299 ASIC enforcement outcomes: January to June 2012
REP 336 ASIC enforcement outcomes: July to December 2012
REP 360 ASIC enforcement outcomes: January to June 2013
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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
INFO 130 Searching the Australian credit register

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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