Registered liquidator transactions on the ASIC Regulatory Portal

Registered liquidators can now submit certain statutory reports and all applications for assetless administration funding to us via the ASIC Regulatory Portal. They can also use the ASIC Regulatory Portal to request ASIC's assistance in an external administration, and to provide notice that they do not intend to supply a supplementary report.

We have recently published more detail about the registered liquidator transactions and how they work in the ASIC Regulatory Portal.

The new transactions are listed below along with the forms they replace. There are also some frequently asked questions further down the page.

Previous name	Name of transaction in portal (effective 30 March 2020)
EX01 Initial ss533(1)/438D/422 report (initial statutory report)	Submit insolvency initial statutory report
EX02 Assetless administration funding request (s206 F ­- Director banning) EX03 Assetless administration funding request (matters other than Section 206F - Director banning) AAF funding request for Liquidator recovery of assets	Submit request for assetless administration funding
Insolvency supplementary report 533(2)	Submit insolvency supplementary report
Liquidator Assistance Program (LAP) Request	Request assistance for external administration
Submit Notice of intention not to lodge a supplementary report (NNS)	Submit Notice of intention not to lodge a supplementary report (NNS)

I'm a registered liquidator – what do I need to do?

All registered liquidators should have registered on the ASIC Regulatory Portal as part of their annual industry funding obligations.

If you are a registered liquidator with an existing ASIC Regulatory Portal account, the transactions listed above are now available in your portal account.

For information about how to find a transaction once you are logged in to your portal account, see our FAQ page.

How are transactions lodged for entities of which I am an external administrator?

You need to log into the Regulatory Portal (or someone authorised to act on your behalf needs to log onto their portal account and access your Registration).

Note that you DO NOT lodge the transactions on the company, you lodge it as the External Administrator. 

Can I still view, edit and submit draft EX01, EX02 or EX03 forms in the liquidator portal?

Draft forms have not been carried over from the liquidator portal to the new Regulatory Portal, so you will need to launch the equivalent transaction from the start in the Regulatory Portal.

Can I arrange for someone else to submit a form/transaction on my behalf via the portal?

Yes. You can invite trusted representatives to act on your behalf in the portal.

If you would like someone to act on your behalf in the portal, you first need to invite them to connect to your account.

When inviting someone to connect to your account you can define user access levels that control what others can do on your behalf. For example, you can authorise another user to launch and edit a transaction, but only you can submit. Please note that the authorised user will receive their own user name and password to log into the portal.

Only a user with Senior administrator or Administrator Access level for an entity can invite other users to connect to that entity.

For more information, including on how to invite someone to connect to your account, see the Administration section on the FAQ page.

I've invited someone to connect to my liquidator registration in the portal, how do I ensure they don't see confidential information?

The invitation process involves setting an Access level to determine what someone can and can't see and do, on your behalf.

There are four Access levels – Senior administrator, Administrator, Approver and Editor.

• Senior administrator – can launch, edit and submit a transaction, invite other users to the entity and view other administrative details for an entity.
• Administrator – can launch, edit and submit a transaction and invite other users to the entity. Registered liquidators may invite senior staff or an assistant to this level of access.
• Approver – can launch, edit and submit a form or transaction, and view other administrative details for an entity. Registered liquidators may invite senior staff this level of access, so they can submit a transaction after the registered liquidator has approved the working papers etc.
• Editor – in general, can launch and edit a form and transaction, but they cannot submit it. We anticipate that many registered liquidators may invite analysts or accountant-level staff to this level of access. The analyst/accountant can then draft transactions but will not be able to submit them.

You can also restrict access to transactions in portal – refer to the below section for more information about this.

For more information on setting Access levels, see the Administration section on the FAQ page.

I've invited someone to connect to my liquidator registration in the portal, can they see which entities I am connected to?

Registered liquidators can invite a trusted representative to act on their behalf in the portal. A trusted representative cannot view which entities you are connected to.

Can I restrict access to transactions in the portal?

Yes. Once you launch a form or transaction, the portal will direct you to a transaction settings page. The transaction settings page asks if you want to restrict access to the transaction. To restrict access, click Yes – restrict access. This will take you to a set restrictions page, which allows you to select users who can access the transaction.

Once you have set the restrictions for a transaction, you also have the option to add or remove users later.

More information on restricting access to transactions is on the FAQ page.

Where can I find more detail about the liquidator transactions on the Regulatory Portal?

We have recently published more detail about the registered liquidator transactions and how they work in the ASIC Regulatory Portal.

I'm not on the portal, how do I register?

Go to the ASIC Regulatory Portal homepage and select the blue 'Register' button.

You can connect using your registration number. For more information on how to register, see our user guide.

What is the ASIC Regulatory Portal?

The ASIC Regulatory Portal will become your central access to ASIC's growing suite of digital regulatory services.

Key features:

• Allows you to act on behalf of multiple entities (individuals or organisations) – for example, you may be a company officeholder (director or secretary of a company) in which case you can register and claim that entity. You can then invite others to act on your behalf or you may be invited by an entity or an officeholder to act on their behalf.
• Uses information you have previously supplied to pre-fill applications and transactions.
• Tracks the status of your applications and transactions.
• Ensures greater security through use of your own individual portal user account and password.
• Enables you to define user access levels that control what others can do on behalf of an entity or individual – for example, you can authorise another user to launch and edit a transaction, but only you can submit.

Where do I go if I need help using the portal?

The ASIC Regulatory Portal help page has resources to help you get up to speed with using the portal. These include step-by-step user guides, FAQs and videos to help you – from registering your account to connecting your registration and inviting trusted representatives to act on your behalf.