Dealing with ASIC

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See also 

ASIC > About ASIC > Dealing with 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

Jobkeeper notice

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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

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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

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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)

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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

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Investigations

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

Immunity policy FAQs

Request for marker form

INFO 172 Cooperating with ASIC

Banning and disqualification

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

Enforceable undertakings

RG 100 Enforceable undertakings

Infringement notices

RG 73 Continuous disclosure obligations: infringement notices

RG 216 Markets Disciplinary Panel

Hearings

RG 8 Hearings practice manual

RG 263 Financial Services and Credit Panel

INFO 1 Administrative hearings

Enforcement outcomes

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)

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Getting information from ASIC

INFO 26 Dealing with businesses and companies: How to avoid being swindled

INFO 92 Probity request procedures for overseas regulators

ASIC's public registers

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)

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Intervention and third party proceedings

RG 4 Intervention

RG 142 Schemes of arrangement and ASIC review

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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)

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Review of ASIC decisions

RG 52 Enforcement action submissions

RG 57 Notification of rights of review

INFO 9 ASIC decisions - your rights

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Serving legal documents on ASIC

RG 17 Fees for subpoenas

RG 18 Serving legal documents on the ASC

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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

Annual Dashboard Report

Summary of 2017–18 levies

ASIC (Supervisory Cost Recovery Levy—Regulatory Costs) Instrument 2018/1062

ASIC (Supervisory Cost Recovery Levy—Annual Determination) Instrument 2018/1063

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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)

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Last updated: 15/10/2021 03:36