Fundraising
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Regulatory index topic: Financial services - Crowd-sourced funding
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Temporary relief to allow ‘low doc’ placements, rights issues and share purchase plans
Offers needing a disclosure document
Offers needing a disclosure document
Business introduction or matching services
Securities offerings in New Zealand and Australia: mutual recognition
Offers that do not need a disclosure document
Foreign disclosure documents - mutual recognition
Continuously quoted securities
On-sale of securities/secondary sales
Disclosure documents and product disclosure statements
Prospective financial information
Supplementary/replacement documents
ASIC's responses to COVID-19
ASIC website resources
- COVID-19 regulatory information
- Changes to regulatory work and priorities in response to COVID-19
- New and updated regulatory documents
Temporary relief to allow ‘low doc’ placements, rights issues and share purchase plans
ASIC has issued temporary relief to allow ‘low doc’ placements, rights issues and share purchase plans where a listed company has been suspended for a total of up to 10 days in the previous 12-month period.
See
20-075MR Facilitating capital raising during COVID-19 period
20-220MR ASIC extends COVID-19 relief for certain capital raisings and financial advice
ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547
ASIC Corporations (Trading Suspensions Relief) Instrument 2020/289
ASIC has also issued a ‘Market Integrity Update’ about fairness in equity raisings emphasising our expectation that directors act in the interests of the company and balance the need for quick and certain capital possible dilution of existing shareholders. ASIC is actively monitoring capital raisings.
See
Home > About ASIC > Corporate publications > Newsletters > Market integrity update > COVID-19 Special Issue - 31 March 2020
Offers needing a disclosure document
Offers needing a disclosure document
RG 254 Offering securities under a disclosure document
REP 484 Due diligence practices in initial public offerings
REP 540 Investors in initial public offerings
Initial public offers
20-198MR ASIC provides relief for companies planning an initial public offering
See
ASIC Corporations (IPO Communications) Instrument 2020/722
CO 13/520 Relevant interests, voting power and exceptions to the general prohibition
RG 5 Relevant interests and substantial holding notices
RG 254 Offering securities under a disclosure document
REP 667 Response to submissions on CP 328 Initial public offers: Relief for voluntary escrow arrangements and pre-prospectus communications (CP 328 and submissions)
RG 41 Limited partnerships fundraising
RG 60 Schemes of arrangement
See also
ASIC Corporations (Stub Equity in Control Transactions) Instrument 2020/734 (See 20-222MR, REP 669, and CP 312 and submissions)
RG 188 Disclosure in reconstructions
Business introduction or matching services
ASIC Corporations (Repeal and Transitional) Instrument 2017/186
Rights issues
RG 189 Disclosure relief for rights issues
ASIC Corporations (Non-Traditional Rights Issues) Instrument 2016/84
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73
Securities offerings in New Zealand and Australia: mutual recognition
RG 190 Offering securities in New Zealand and Australia under mutual recognition
Crowd-sourced funding
See also
Home > Regulatory resources > Financial services > Crowd-sourced funding
RG 261 Crowd-sourced funding: Guide for public companies (17-321MR and 18-314MR)
Attachment to RG 261: Template CSF offer document (DOCX 90 KB)
RG 262 Crowd-sourced funding: Guide for intermediaries (17-321MR and 18-314MR)
REP 657 Survey of crowd-sourced funding intermediaries: 2018–19
Offers that do not need a disclosure document
RG 151 Fundraising: Discretionary powers
Employee share schemes
RG 49 Employee incentive schemes
REP 417 Response to submissions on CP 218 Employee incentive schemes
CO 14/1000 Employee incentive schemes: Listed bodies
CO 14/1001 Employee incentive schemes: Unlisted bodies
REP 629 Response to submissions on CP 304 Share and interest purchase plans
Foreign disclosure documents - mutual recognition
RG 72 Foreign securities disclosure relief
RG 163 Takeovers: Minimum bid price principle (s621)
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests
ASIC Corporations (Compromises or Arrangements) Instrument 2015/358
ASIC Corporations (Foreign Rights Issues) Instrument 2015/356
ASIC Corporations (Foreign Scrip Bids) Instrument 2015/357
ASIC Corporations (Foreign Securities—Incidental Advertising) Instrument 2015/360
ASIC Corporations (Foreign Securities—Publishing Notices) Instrument 2015/359
ASIC Corporations (Foreign Small-Scale Offers) Instrument 2015/362
Continuously quoted securities
ASIC Corporations (Exposure Period) Instrument 2016/74
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73
On-sale of securities/secondary sales
RG 66 Transaction-specific disclosure for PDSs
RG 67 Real estate companies
RG 92 Procedural
fairness to third parties
RG 129 Business introduction or matching services
RG 140 Serviced strata schemes
RG 173 Disclosure for on-sale of securities and other financial products
RG 188 Disclosure in reconstructions
ASIC Corporations (Sale Offers That Do Not Need Disclosure) Instrument 2016/80
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73
ASIC Corporations (Sale Offers By Controllers) Instrument 2016/81
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests
Qualified accountant
RG 154 Certificate by a qualified accountant
ASIC Corporations (Qualified Accountant) Instrument 2016/786
Share purchase plans
RG 125 Share purchase plans
ASIC Corporations (Share and Interest Purchase Plans) Instrument 2019/547
REP 629 Response to submissions on CP 304 Share and interest purchase plans (see CP 304 and submissions and 19-233MR)
Disclosure documents and product disclosure statements
See also
Regulatory index topic: Financial services: Product disclosure
RG 66 Transaction specific disclosure for PDSs
RG 230 Disclosing non-IFRS financial information
RG 9 Takeover bids
See also
ASIC Corporations (Stub Equity in Control Transactions) Instrument 2020/734 (See 20-222MR, REP 669, and CP 312 and submissions)
REP 83 Small and mid-cap miners study
REP 473 Response to submissions on CP 239 Disclosure documents: Update to ASIC instruments and guidance
Additional investments
RG 127 Additional investments in managed investment schemes
Applications
RG 254 Offering securities under a disclosure document
ASIC Corporations (Minimum Subscription and Quotation Conditions) Instrument 2016/70
ASIC Corporations (Debenture Prospectuses) Instrument 2016/75
ASIC Corporations (Application Form Requirements) Instrument 2017/241
Consent to quote
RG 55 Statements in disclosure documents and PDSs: Consent to quote
ASIC Corporations (Consents to Statements) Instrument 2016/72
Research analyst reports
RG 79 Managing conflicts of interest: An ASIC guide for research report providers
RG 264 Sell side research
ASIC Corporations (Consents to Statements) Instrument 2016/72
REP 24 Research analyst independence
REP 486 Sell-side research and corporate advisory: Confidential information and conflicts
REP 605 Allocations in equity raising transactions
Rights issues
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73
ASIC Corporations (Non-Traditional Rights Issues) Instrument 2016/84
Offer information statements
RG 254 Offering securities under a disclosure document
Profile statements
RG 254 Offering securities under a disclosure document
Product disclosure statements
See also
Regulatory index topic: Financial services: Product disclosure - Product disclosure statements
RG 55 Statements in disclosure documents and PDSs: Consent to quote
RG 231 Infrastructure entities: improving disclosure for retail investors
RG 232 Agribusiness managed investment schemes: Improving disclosure for retail investors
REP 272 Response to CP 134 and CP 154 Infrastructure entities: Improving disclosure for retail investors
REP 273 Response to submissions on CP 133 Agribusiness schemes: Improving disclosure for retail investors
Prospective financial information
RG 170 Prospective financial information
Forward-looking statements
INFO 214 Mining and resources - forward looking statements
Prospectuses
RG 254 Offering securities under a disclosure document
RG 228 Prospectuses: Effective disclosure for retail investors (see 19-208MR)
RG 55 Statements in disclosure documents and PDSs: Consent to quote
RG 69 Debentures and notes: Improving disclosure for retail investors
RG 70 Prospectuses for cash box and investment companies
RG 107 Fundraising: Facilitating electronic offers of securities
RG 127 Additional investments in managed investment schemes
RG 141 Offers of securities on the internet
ASIC Corporations (Foreign Scrip Bids) Instrument 2015/357
ASIC Corporations (Compromises or Arrangements) Instrument 2015/358
ASIC Corporations (Exposure Period) Instrument 2016/74
ASIC Corporations (Debenture Prospectuses) Instrument 2016/75
ASIC Corporations (Offers over the internet) Instrument 2017/181
REP 484 Due diligence practices in initial public offerings
REP 502 Response to submissions on CP 257 Improving disclosure of historical financial information in prospectuses: Update to RG 228 (see CP 257 and submissions and 16-372MR)
Supplementary/replacement documents
RG 254 Offering securities under a disclosure document
RG 127 Additional investments in managed investment schemes
ASIC Corporations (Exposure Period) Instrument 2016/74
ASIC Corporations (Substituted Supplementary Disclosure Documents) Instrument 2016/78
Electronic offers
RG 107 Fundraising: Facilitating electronic offers of securities
RG 141 Offers of securities on the internet
RG 221 Facilitating online financial services disclosures
ASIC Corporations (Offers over the internet) Instrument 2017/181
REP 385 Response to submissions on CP 211 Facilitating electronic offers of securities: Update to RG 107
Quotation of securities
RG 254 Offering securities under a disclosure document
ASIC Corporations (Exposure Period) Instrument 2016/74
ASIC Corporations (Market Research and Roadshows) Instrument 2016/79
ASIC Corporations (Disregarding Technical Relief) Instrument 2016/73
Share buy-backs
RG 110 Share buy-backs
Hawking and advertising
See also
Regulatory index topic: Financial services: Hawking and advertising
RG 38 The hawking prohibitions
RG 38 currently under review
See
21-181MR ASIC consults on draft guidance for the hawking reforms
CP 346 Updates to Revised RG 38
RG 254 Offering securities under a disclosure document
RG 102 Tender offers by vendor shareholders
RG 141 Offers of securities on the internet
RG 156 Advertising of debentures and notes to retail investors
REP 22 A review of the research on the past performance of managed funds
REP 38 High-yield debentures—ASIC surveillance report
ASIC Corporations (Market Research and Roadshows) Instrument 2016/79
ASIC Corporations (Securities and Managed Investment Scheme Hawking Relief) Instrument 2017/184
REP 494 Marketing practices in initial public offerings of securities
Type of security
Convertible securities
ASIC Corporations (Offers of Convertibles) Instrument 2016/83
CHESS depository interests
RG 253 Fundraising: Facilitating offers of CHESS Depository Interests
REP 414 Response to submissions on CP 220 Fundraising: Facilitating offers of CHESS Depositary Interests
CO 14/827 Offers of CHESS depository interests
Debentures
RG 30 Paperless issues and transfers under a global debenture
RG 63 Access to debenture and prescribed interest registers
RG 69 Debentures and notes: Improving disclosure for retail investors
RG 87 Charities
RG 254 Offering securities under a disclosure document
RG 156 Advertising of debentures and notes to retail investors
REP 38 High-yield debentures—ASIC surveillance report
ASIC Corporations (Debenture Prospectuses) Instrument 2016/75
ASIC Corporations (Describing Debentures – Secured Notes) Instrument 2022/61 (see 22-068MR, CP 344, 21-156MR and [SCO 12/1482]
Foreign quoted securities
See
Regulatory index topic: Fundraising: Foreign disclosure documents
Hybrid securities
REP 365 Hybrid securities
REP 427 Investing in hybrid securities: Explanations based on behavioural economics
Initial coin offerings
INFO 225 Initial coin offerings
Managed investments
See
Regulatory index topic: Managed investment schemes
Simple corporate bonds
RG 254 Offering securities under a disclosure document
Warrants
ASIC Corporations (Exchange-Traded Warrants) Instrument 2016/886
ASIC's role
Exposure period
RG 254 Offering securities under a disclosure document
ASIC Corporations (Exposure Period) Instrument 2016/74
ASIC regulation of corporate finance
See
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