Telling ASIC about officers who will not hand over company books and records or submit RATA (reports as to affairs)
As a liquidator or administrator you can ask us for help with RATA, s530A and s530B offences. We would prefer if you put in a complaint (separate from your S533 report) so we can deal with the matter quickly and efficiently.
Matters should only be separately reported to ASIC where the RATA or books and records are needed to progress the administration or liquidation. If it is your intention to finalise the administration/liquidation without these materials then the matter should only be reported in a 438D or 533 Report.
When you write to us asking for assistance in regards to officers who will not hand over books and records or give you a RATA, you should include a:
covering letter
and
draft statement (for NSW, Qld, ACT and WA) which describes the history of the matter and the details of non compliance.
(Use our sample statement)
or
draft affidavits (for Tas & SA; and for Vic ) which describes the history of the matter and the details of non compliance.
(Use our sample affidavits)
Send this information to:
email - eComplaintsNSW(or Qld, Vic, Tas, WA, SA, ACT)@asic.gov.au
or
post - Complaints, GPO Box 9827 in your capital city.
In circumstances where failure to lodge RATA and/or failure to provide books and records has been reported to ASIC and there has been subsequent compliance, ASIC should be immediately notified of the compliance.
Assetless administration fund