Report misconduct to ASIC
When reports of misconduct fall within our areas of responsibility, we take into consideration a number of factors in deciding if we will take further action. To better understand how we do this, read ASIC’s approach to enforcement.
Be prepared before making a report
Gather together any relevant documents or letters. You may need these to answer the questions on the reporting form. There are often many issues surrounding allegations of misconduct; however, details beyond the facts, however distressing, will not usually assist us in our consideration of your matter. You may wish to draft a summary of your concerns before completing the form. You cannot attach documents to the form.
The form should take between 10 and 15 minutes to complete and you must complete it in one session. You cannot save the form.
We will not reveal your identity or the contents of your report to others unless we are required or authorised by law to do so.
The Corporations Act 2001 (Corporations Act) provides certain protections for officers, employees or contractors of a company who make a report on that company. For more information, read Whistleblower rights and protections (INFO 238) and How ASIC handles whistleblower reports (INFO 239).
Making a report
As part of measures implemented because of the Coronavirus our response times and methods may vary from our standard. Due to altered working arrangements, our primary mode of communication is email. Please consider this when providing your contact details and when trying to contact us.
Customers using iPads may experience issues when using the online misconduct reporting form. If you have issues, we recommend switching to another device or using a desktop computer.
What happens next?
Once you submit your report, a confirmation screen will display your Reference Number. If you supplied your email address we will send you a confirmation email including a PDF copy of your report and your Reference Number.
An analyst will contact you to discuss your report. However, due to current circumstances, our response times and method of contact may vary from our standard and likely to be by email.
Find out more about what happens next with your report of misconduct.
If you need other assistance or information about the reporting process, you can ask us a question online or phone us on 1300 300 630.