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Summary prosecutions of companies and directors

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Summary prosecutions: why and who?

Since 1 July 2002 we have increased the number of prosecutions of people and companies for a variety of alleged breaches of the Corporations Act. Our reasons for doing this include:

  • improving the quality of information available to the public, shareholders and members or officers of Australian companies
  • assisting external administrators to address ongoing misconduct by company officers
  • discouraging the misuse of ASIC's public database and
  • preventing disqualified directors from managing companies.

For example, we are prosecuting:

  • people who are alleged to have continued to act as an officer of a company after a liquidator is appointed
  • company officers who allegedly failed to assist insolvency practitioners to administer a failed company by not providing a Report on Company Activities and Property (ROCAP) – formerly known as the Report as to Affairs (RATA) – company books and records and assistance when requested
  • company officers themselves and their companies for allegedly failing to update ASIC registers with the addresses of their companies and company officers
  • people who are alleged to have used company titles when no such company was registered by ASIC.

Find out who has been prosecuted

For people prosecuted between January 2009-March 2011

This content has been removed in accordance with our policy in Information Sheet 152 Public comment on ASIC's regulatory activities.

What to do if you have a complaint about a company, director or a business claiming to be a company

Complaints from the public

You can lodge a complaint about any company, director or business claiming to be a company.

See Report misconduct to ASIC.

Complaints from insolvency practitioners

Telling us about officers who will not hand over company books and records or submit ROCAPs

See Report misconduct to ASIC.