REP 602 Overview of decisions on relief applications (April 2018 to September 2018)

Released 6 December 2018

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 from 1 April 2018 to 30 September 2018. It summarises examples of situations where we have exercised, or refused to exercise, ASIC’s exemption and modification powers from the financial reporting, managed investment, takeovers, fundraising or financial services provisions of the Corporations Act 2001 and the National Consumer Credit Protection Act 2009.

It also refers to a number of publications issued by ASIC during the period from 1 April 2018 to 30 September 2018 that may be relevant to prospective applicants for relief, including legislative instruments, consultation papers, regulatory guides and reports.