Fundraising

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Regulatory index topic: Financial services - Crowd-sourced funding

 

ASIC's responses to COVID-19

ASIC website resources

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

 

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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)

Reconstructions

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

ASIC Corporations (Capital Reductions and Reconstructions—Technical Disclosure Relief) Instrument 2017/242

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

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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

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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

ASIC Corporations (Sale Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82

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)

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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

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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

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Type of security

Convertible securities

ASIC Corporations (Offers of Convertibles) Instrument 2016/83

ASIC Corporations (Sale Offers: Securities Issued on Conversion of Convertible Notes) Instrument 2016/82

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

See also

CO 12/1482 When debentures can be called secured notes

21-156MR ASIC consults on remaking class order regarding when debentures can be called secured notes

CP 344 Remaking ASIC class order on when debentures can be called secured notes: [CO 12/1482] (submissions close 29/7/2021)

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

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ASIC's role

Exposure period

RG 254 Offering securities under a disclosure document

ASIC Corporations (Exposure Period) Instrument 2016/74

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ASIC regulation of corporate finance

See

Home > About ASIC > What we do > How we operate > Stakeholder liaison > Corporate Finance Liaison Meetings

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Last updated: 10/09/2021 03:17