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Road map - dealing with ASIC

Other topics | About the road map

Topic
Applying for relief - Application procedures - Reports on our previous decisions Breach reporting Making complaints Hearings, investigations and enforcement - Banning and disqualification - Investigations - Enforceable undertakings - Infringement notices - Hearings	Getting information about ASIC - Release of confidential information Intervention and 3rd prty proceedings Lodging documents with ASIC Review of ASIC decisions Serving legal documents with ASIC

► Applying for relief


	Application procedures
RG 21	How ASIC charges fees for relief applications
RG 51	Applications for relief
RG 108	No-action letters
RG 92	Procedural fairness to third parties

	Reports on our previous decisions
REP 34	Overview of decisions on relief applications from financial service providers (October 2003 to August 2004)
REP 39	Overview of decisions on relief applications from financial service providers (August to December 2004)
REP 49	Overview of decisions on relief applications from financial service providers (January to April 2005)
REP 65	Overview of decisions on relief applications (from financial service providers (May to August 2005)
REP 71	Overview of decisions on relief applications from financial service providers (September to December 2005)
REP 77	Overview of decisions on relief applications (January to March 2006)
REP 81	Overview of decisions on relief applications (April to June 2006)
REP 88	Overview of decisions on relief applications (July to September 2006)
REP 95	Overview of decisions on relief applications (October to December 2006)
REP 97	Overview of decisions on relief applications (January to May 2007)
REP 111	Overview of decisions on relief applications (June to August 2007)
REP 124	Overview of decisions on relief applications (September to November 2007)

► Breach reporting


RG 78	Breach reporting for AFS licensees
RG 108	No-action letters
INFO 52	Protection for whistleblowers

► Making complaints


RG 92	Procedural fairness to third parties
INFO 33	Getting your money back
INFO 52	Protection for whistleblowers

► Hearings, investigations and enforcement


INFO 1	Administrative hearings
RG 8	Hearings practice manual
RG 15	Enforcement action—no undertakings
RG 52	Enforcement action submissions
RG 47	Public comment
RG 103	Confidentiality and release of information
INFO 12	ASIC search information and fees

	Banning and disqualification
RG 98	Licensing: Administrative action against financial services providers
RG 180	Auditor registration
RG 186	External administration: Liquidator registration
INFO 14	Bankruptcy and personal insolvency agreements
INFO 26	Don't get burned
	Investigations
REP 1	Reports of investigation: Spedley Securities Ltd
REP 2	Reports of investigation: Burns Philp and Co Ltd

	Enforceable undertakings Enforceable undertakings: an ASIC guide

	Infringement notices
RG 73	Continuous disclosure obligations: infringement notices

	Hearings
RG 8	Hearings practice manual
INFO 1	Administrative hearings

► Getting information from ASIC


INFO 26	Don't get burned

	ASIC's public registers
INFO 12	ASIC search information and fees
INFO 21	Company alert - An ASIC internet service
INFO 38	Identical names check - an ASIC internet service
INFO 51	Professional registers

	Release of confidential information
RG 103	Confidentiality and release of information
RG 92	Procedural fairness to third parties

► Intervention and 3rd party proceedings


RG 4	Intervention
RG 142	Schemes of arrangement and ASIC review

► Lodging documents with ASIC


RG 16	External administrators—reporting and lodging
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

► Review of ASIC decisions


RG 57	Notification of rights of review
RG 52	Enforcement action submissions
INFO 9	ASIC decisions - your rights

► Serving legal documents on ASIC


RG 17	Fees for subpoenas
RG 18	Serving legal documents on the ASC

ASIC Website: Printed 11/24/2008