REP 420 Overview of decisions on relief applications (June to September 2014)
Released 28 January 2015.
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 ASIC’s decisions on relief applications during the period 1 June 2014 to 30 September 2014. 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 andthe National Consumer Credit Protection Act 2009.
It also refers to a number of publications issued by ASIC during the period 1 June 2014 to 30 September 2014 that may be relevant to prospective applicants for relief, including class orders, consultation papers, regulatory guides and reports.