Released 28 January 2014.

This is a report for participants in the capital markets and financial services industry who are prospective applicants for relief.

This report outlines some of our decisions on relief applications during the period 1 June to 30 September 2013. It summarises examples of situations where we have exercised, or refused to exercise, our exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising or financial services provisions of the Corporations Act 2001,the National Consumer Credit Protection Act 2009 or the National Consumer Credit Protection (Transitional and Consequential Provisions) Act 2009, and examples of situations where we have provided, or refused to provide, no-action letters.

It also refers to a number of publications issued by ASIC during the period 1 June to 30 September 2013 that may be relevant to prospective applicants for relief, including class orders, consultation papers, regulatory guides and reports.

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