Dealing with ASIC
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See also
ASIC > About ASIC > Dealing with ASIC
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Reportable situations (formerly 'Breach reporting')
Hearings, investigations and enforcement
ASIC's product intervention power
Release of confidential information
Intervention and third party proceedings
Serving legal documents on ASIC
ASIC's responses to COVID-19
ASIC website resources
Financial reporting
21-082MR ASIC to extend deadlines for 30 June 2021 financial reports and amends ‘no action’ position for AGMs
21-236MR ASIC extends time for companies to hold annual general meetings
See
ASIC Corporations (Extension of Time to Hold AGM) Instrument 2021/770
ASIC guidelines for investor meetings using virtual technology (news item published 29/3/2021; updated 18/8/2021)
See also
20-068MR, 20-084MR, 20-113MR and 20-276MR
ASIC Corporations (Exempt Proprietary Companies) Instrument 2015/840
ASIC Corporations (Wholly-owned Companies) Instrument 2016/785
ASIC Corporations (Extended Reporting and Lodgment Deadlines—Unlisted Entities) Instrument 2020/395
ASIC Corporations (Extended Reporting and Lodgment Deadlines—Listed Entities) Instrument 2020/451
ASIC Corporations (COVID-19 Email Lodgement Service—ASIC Corporations (Wholly-owned Companies) Instrument 2016/785) Instrument 2020/612 (PDF 175 KB)
ASIC Corporations (COVID-19 Email Lodgement Service—ASIC Corporations (Wholly-owned Companies) Instrument 2016/785) Instrument 2020/890 (PDF 188 KB)
20-157MR Focuses for financial reporting under COVID-19 conditions
20-325MR ASIC highlights focus areas for 31 December 2020 financial reports under COVID-19 conditions
21-129MR ASIC highlights focus areas for 30 June 2021 financial reports under COVID-19 conditions
21-135MR ASIC review of 31 December 2020 financial reports
Capital raisings
20-075MR Facilitating capital raisings during COVID-19 period
20-097MR ASIC supports increase transparency in capital raisings
20-135MR ASIC amends financial advice and capital raisings COVID-19 instruments
20-220MR ASIC extends COVID-19 relief for certain capital raisings and financial advice
ASIC Corporations (Trading Suspensions Relief) Instrument 2020/289
ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547
Financial advice
21-269MR ASIC further extends temporary financial advice relief measures in COVID 19 instrument
See
INFO 262 FAQs: COVID-19 information for advice licensees and financial advisers
ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2021/268 (see unincorporated amendments: ASIC Corporations (Amendment) Instrument 2021/848)
See also
21-072MR, 20-085MR, 20-135MR and 20-220MR
Example Record of Advice (ROA): COVID-19 relief measure (PDF 660 KB): see 21-072MR (Editor's note)
ASIC Corporations (COVID-19—Advice-related Relief) Instrument 2020/355 (repealed)
Superannuation
See
Home > Regulatory resources > Superannuation funds > COVID-19 FAQs
Temporary restructuring relief
See
Home > Regulatory resources > Insolvency > Insolvency for directors > Temporary restructuring relief
Jobkeeper payment disclosure
21-271MR ASIC issues Jobkeeper notice and guidance
See
INFO 263 FAQs: Disclosure by listed entities about jobkeeper payments
Applying for relief
Application procedures
Relief applications now lodged through the ASIC Regulatory Portal: see how you apply for relief
RG 21 How ASIC charges fees for relief applications
RG 51 Applications for relief
RG 92 Procedural fairness to third parties
RG 108 No-action letters
RG 208 How ASIC charges fees for credit relief applications
INFO 157 Foreign financial services providers - practical guidance
Reports on relief decisions
See
Home > Regulatory resources > Find a document > Reports > Reports on relief applications
Reportable situations (formerly 'Breach reporting')
Effective 1 October 2021, AFS and Australian credit licensees will be required to submit reportable situations to ASIC via the approved form available in the ASIC Regulatory Portal.
See also
Home > Regulatory resources > Financial services > Breach reporting by AFS licensees > Reportable situations for AFS and credit licensees
Home > Regulatory resources > Credit > Reportable situations
Breach reporting reforms
21-235MR ASIC publishes guidance on breach reporting (7 September 2021)
See
RG 78 Breach reporting by AFS licensees and credit licensees (commences 1 October 2021)
Superseded SRG 78 (PDF 782 KB) (continues to apply with respect to certain breaches before 1 October 2021)
INFO 259 Complying with the notify, investigate and remediate obligations
REP 698 Response to submissions on CP 340 Breach reporting and related obligation (see CP 340, Draft regulatory guide (PDF 613 KB), Draft information sheet (PDF 217 KB) and 21-080MR)
ASIC Corporations and Credit (Breach Reporting—Reportable Situations) Instrument 2021/716
ASIC Credit (Breach Reporting—Prescribed Commonwealth Legislation) Instrument 2021/801
RG 108 No-action letters
RG 238 Suspicious activity reporting
REP 594 Review of selected financial services groups’ compliance with the breach reporting obligation (see 18-284MR)
See also Whistleblower policies below
Making complaints
See also
ASIC > About ASIC > Contact us > How to complain
RG 92 Procedural fairness to third parties
INFO 107 Guidelines for managing allegations of misconduct against ASIC officers
INFO 33 Getting your money back
INFO 153 How ASIC deals with reports of misconduct
Whistleblower policies
INFO 238 Whistleblower rights and protections
INFO 239 How ASIC handles whistleblower reports
RG 270 Whistleblower policies: see 19-308MR and 19-372MR
INFO 238 Whistleblower rights and protections: see 19-164MR
INFO 239 How ASIC handles whistleblower reports: see 19-164MR
INFO 246 Company auditor obligations under the whistleblower protection provisions: see news item
INFO 247 Company officer obligations under the whistleblower protection provisions: see news item
ASIC Corporations (Whistleblower Policies) Instrument 2019/1146
REP 635 Response to submissions on CP 321 Whistleblower policies (see CP 321 and submissions)
Hearings, investigations and enforcement
See also
ASIC > About ASIC > ASIC investigations and enforcement
INFO 151 ASIC’s approach to enforcement
INFO 208 When companies break laws that ASIC does not enforce
INFO 145 ASIC's compulsory information gathering powers
INFO 151 ASIC’s approach to enforcement
INFO 152 Public comment on ASIC's regulatory activities
INFO 153 How ASIC deals with reports of misconduct
INFO 165 Claims of legal professional privilege
INFO 172 Cooperating with ASIC
INFO 180 ASIC's approach to involvement in private court proceedings
INFO 181 Providing information and documents to private litigants
INFO 204 Recovery of investigation expenses and costs
INFO 224 ASIC audit inspections
INFO 242 ASIC’s document production guidelines
RG 15 Enforcement action—no undertakings
RG 52 Enforcement action submissions
RG 103 Confidentiality and release of information
ASIC immunity policy
See also
Home > About ASIC > Dealing with ASIC > ASIC immunity policy
See
21-030MR ASIC launches immunity policy for market misconduct offences
INFO 172 Cooperating with ASIC
RG 98 Licensing: Administrative action against financial services providers
RG 180 Auditor registration
RG 186 External administration: Liquidator registration
RG 218 Administrative action against persons engaging in credit activities
RG 263 Financial Services and Credit Panel
INFO 14 Bankruptcy and personal insolvency agreements
REP 551 Response to submissions on CP 281 Financial Services Panel
RG 100 Enforceable undertakings
RG 73 Continuous disclosure obligations: infringement notices
RG 216 Markets Disciplinary Panel
RG 8 Hearings practice manual
RG 263 Financial Services and Credit Panel
INFO 1 Administrative hearings
See
Home > About ASIC > ASIC investigations and enforcement > ASIC enforcement outcomes
ASIC's product intervention power
RG 272 Product intervention power: see 20-139MR
REP 661 Response to submissions on CP 313 Product intervention power (see CP 313 and submissions)
Getting information from ASIC
INFO 26 Dealing with businesses and companies: How to avoid being swindled
INFO 92 Probity request procedures for overseas regulators
INFO 12 ASIC search information and fees
INFO 21 Company alert - An ASIC internet service
INFO 187 Disputes about similar business names
Release of confidential information
RG 92 Procedural fairness to third parties
RG 103 Confidentiality and release of information
INFO 250 Giving AFS and credit licensees information about their representatives (see news item)
Intervention and third party proceedings
RG 4 Intervention
RG 142 Schemes of arrangement and ASIC review
Lodging documents with ASIC
The ASIC Regulatory Portal is now the primary way to submit applications for relief and various fundraising and corporate finance documents to ASIC.
RG 16 External administrators—reporting and lodging
RG 34 Auditor's obligations: Reporting to ASIC
RG 58 Reporting by registered foreign companies and Australian companies with foreign shareholders
RG 152 Lodgment of disclosure documents
INFO 8 ASIC corporate key
INFO 21 Company alert - An ASIC internet service
INFO 30 Fees for commonly lodged documents
INFO 37 How to avoid late fees
INFO 57 Software you need
INFO 77 What you need to know about registered agents
INFO 235 Dispute resolution for Indigenous corporations
Reporting relief
ASIC Corporations (Exempt Proprietary Companies) Instrument 2015/840
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73
ASIC Corporations (Wholly Owned Companies) Instrument 2016/785
ASIC Corporations (Asia Region Funds Passport) Instrument 2019/75
ASIC Corporations (Extended Reporting and Lodgment Deadlines—Unlisted Entities) Instrument 2020/395
ASIC Corporations (Extended Reporting and Lodgment Deadlines—Listed Entities) Instrument 2020/451
ASIC Corporations (COVID-19 Email Lodgement Service—ASIC Corporations (Wholly-owned Companies) Instrument 2016/785) Instrument 2020/612 (PDF 175 KB)
ASIC Corporations (COVID-19 Email Lodgement Service—ASIC Corporations (Wholly-owned Companies) Instrument 2016/785) Instrument 2020/890 (PDF 188 KB)
Review of ASIC decisions
RG 52 Enforcement action submissions
RG 57 Notification of rights of review
INFO 9 ASIC decisions - your rights
Serving legal documents on ASIC
RG 17 Fees for subpoenas
RG 18 Serving legal documents on the ASC
Industry funding
See also
Home > About ASIC > What we do> How we operate > ASIC industry funding
FY 2020-2021
See
ASIC (Supervisory Cost Recovery Levy—Return Deadline) Notice 2021/645 (PDF 176 KB)
Cost Recovery Implementation Statement 2020-21 (for feedback): see 21-185MR and industry funding webpage
FY 2019-2020
Industry funding invoices to recover ASIC's FY 2019–20 regulatory costs were issued in March 2021.
See
Summary of 2019-20 indicative levies (PDF 31 KB)
2019–20 Cost Recovery Implementation Statement (for feedback)
Annual dashboard report: 2019–20 (PDF 158 KB)
Summary of 2019–20 actual levies (PDF 30 KB)
ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2020/1073
ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2020/1074
ASIC (Supervisory Cost Recovery Levy—Return Deadline) Notice 2021/645
FY 2018-2019
Industry funding invoices to recover ASIC's FY 2018–19 regulatory costs were issued in January 2020.
See
Summary of 2018-19 levies (PDF 44 KB)
Cost Recovery Implementation Statement 2018-19
Annual dashboard report 2018-19 (PDF 185 KB)
ASIC (Fees—Complexity Criteria) Instrument 2018/578
ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2018/1062
ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2018/1063
ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2019/1160
ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2019/1161
ASIC (Supervisory Cost Recovery Levy—Return Deadline) Notice 2020/698
FY 2017-2018
Industry funding invoices to recover ASIC's FY 2017–18 regulatory costs were issued in January 2019.
See
Cost Recovery Implementation Statement—2017–18
ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2018/1062
ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2018/1063
Regtech initiatives
See
20-195MR ASIC issues guidance for Australian Government’s enhanced regulatory sandbox and Enhanced regulatory sandbox webpage
INFO 248 Enhanced regulatory sandbox (NOTE: RG 257 has been withdrawn)
REP 685 ASIC’s regtech initiatives 2019–20
Strategic priorities and performance
See also
Home > About ASIC > What we do > Our role > Strategic priorities
Home > About ASIC > Corporate publications
ASIC update: September 2019 to February 2020 (PDF 356 KB) (February 2020)
ASIC’s Interim Corporate Plan 2020-21 and updated work program (June 2020)
REP 663 Regulator Performance Framework: ASIC self-assessment 2018–19 (June 2020)
ASIC Corporate Plan 2020-2024 (August 2020)
ASIC Annual Report 2019-20 (October 2020)
REP 690 ASIC quarterly update: January to March 2021 (May 2021)
REP 691 Regulator Performance Framework: ASIC self-assessment 2019–20 (May 2021)
REP 697 ASIC quarterly update: April to June 2021 (August 2021)
ASIC Corporate Plan 2021–25 - Focus 2021–22 (August 2021)
See also
21-225MR ASIC publishes Corporate Plan 2021-25 (August 2021)
Statement of Intent: Australian Securities and Investments Commission - August 2021
Australian Government's Statement of Expectations: Australian Securities and Investments Commission - August 2021
ASIC Annual Report 2021-21 (see 21-273MR - October 2021)