How to lodge if you are unable to use the portal

Fundraising and corporate finance documents are now lodged with us through the ASIC Regulatory Portal (not email).

Lodgments relating to takeovers, schemes of arrangement, shareholder meeting materials, fundraising offers, compulsory acquisitions and buy-out notifications can be lodged by email only in instances where there are accessibility limitations, or where the ASIC Regulatory Portal is unavailable.

Email can also be used where it is logistically difficult to use the portal to complete the lodgement. For example, the volume of scheme entities and scheme meetings is too large, or for schemes of arrangement where there is a high number of schemes.

Lodge through the ASIC Regulatory Portal

Visit our website to find out how to lodge or submit the following through the portal:

  • Fundraising disclosure documents or statements
  • Takeover documents – target’s statement and notices
  • Takeover documents – bidder’s statement and notices
  • Schemes of Arrangement documents – explanatory statements and court orders
  • Compulsory acquisitions and buy out notices
  • Shareholder meeting materials – related party transactions or acquisitions to be approved by members (item 7 s611).

How can I request an alternative lodgment method?

You should contact ASIC obtain a cover information sheet which will assist you to provide us with the required information. Documents submitted without this information may require additional enquires to be made and lead to delay. There is no need to provide ASIC with a hard copy of the documents lodged.

The existing lodgment channels remain in place for:

  • Notifications for Product Disclosure Statements, including in-use notices (forms FS88, FS89 and FS90). See our webpage for how to lodge.
  • Fundraising Disclosure Document for an issuer of securities that does not have an ASIC identifier (ACN, ARBN or ARSN) – use Corporations.Lodgements@asic.gov.au
  • Lodgments for employee share schemes and employee incentive schemes (use Corporations.Lodgements@asic.gov.au) including:
    • Disclosure documents for employee share and incentive schemes.
    • Notice of reliance of Class Order [CO 14/1000] Employee incentive Schemes: Listed Bodies.
    • Notice of Class Order [CO 14/1001] Employee Incentive Schemes: Unlisted Bodies.

The above lodgements and submissions are not made through the ASIC Regulatory Portal.

Applications for relief

You should submit your application for relief through the ASIC Regulatory Portal. Applications for relief can be submitted by email only in instances where there are accessibility limitations, or where the ASIC Regulatory Portal is unavailable. For more information, see how you apply for relief.

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Last updated: 27/07/2020 08:57