Complaints about the conduct of our officers

What do these complaints relate to?

These complaints are about the conduct of ASIC staff members in connection with our regulatory, investigative and enforcement work. These complaints may range from allegations of abuse of our office or powers to allegations of rudeness or inappropriate service.

How does ASIC handle these complaints?

Processes and procedures

Information Sheet 107: The Guidelines for managing allegations of misconduct against ASIC officers (INFO 107) governs how we handle these types of complaints. The Professional Standards Unit is the area in ASIC which is responsible for these types of complaints when we receive them.

Timeframes

We aim to acknowledge receipt of your complaint within three business/working days. The time it will take to review each matter will depend on the complexity of the matter. We will aim to complete less serious matters within 28 days. Serious matters, due to their complexity, will generally take a longer time to resolve.

What are the possible outcomes of such a complaint?

We will inquire into the circumstances of each complaint and we will advise you of our findings.

If you wish to lodge a complaint about the conduct of one of our officers you can email the Professional Standards Unit directly using the email professional.standards.unit@asic.gov.au or you can:

Lodge your complaint on our online form

Public interest disclosures

ASIC has established agency procedures for dealing with public interest disclosures.

Find out more about public interest disclosures

Related information

  • Information Sheet 107: The Guidelines for managing allegations of misconduct against ASIC officers (INFO 107)
Last updated: 23/03/2016 03:08