ASIC investigations and enforcement

ASIC's approach to enforcement Explains how we approach our enforcement role and why we respond to particular types of breaches of the law in different ways
Private court proceedings Explains our approach to getting involved in private court proceedings and our powers to provide information to private litigants
Cooperating with ASIC Explains the benefits of cooperating with our investigations, and the factors we take into account when assessing cooperation
Information-gathering powers Details on our compulsory information-gathering powers, including what it means for you when you receive a notice to produce documents or provide information
Legal professional privilege Explains how we approach claims of legal professional privilege
Public comment on ASIC's regulatory activities Explains when ASIC may comment publicly on investigations and enforcement actions and who are our authorised spokespersons
Whistleblowing Details of how the Corporations Act protects certain whistleblower activities
Enforceable undertakings Explains what enforceable undertakings are and how to access the enforceable undertakings register
Infringement notices Explains infringement notice processes with links to relevant registers
Recovery of investigation expenses and costs Explains our power to make orders to recover the expenses and costs of investigations we conduct, and the change in our approach to exercising that power.
Enforcement outcomes These six-monthly reports outline enforcement outcomes achieved by ASIC
  See also our list of regulatory guidance on hearings, investigations and enforcement

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Last updated: 23/03/2016 03:08