Changes to how you lodge fundraising and corporate finance documents

On 27 July 2020, the ASIC Regulatory Portal replaced other submission channels as the primary way of lodging fundraising and corporate finance documents with ASIC. These documents are lodged through the portal using online forms known as transactions.

Note: Applications for relief are also submitted through the ASIC Regulatory Portal. For more information, see Changes to how you apply for relief.

Register your portal account

Recently registered? Please wait a minimum of 30 minutes before launching a transaction.

Anyone using the portal to transact with ASIC will need to register an individual account. You can register by selecting the ‘I just want to register’ tile on the registration page. You can then log in and submit any of the new transactions to ASIC.

You can also register your individual account when you are invited to connect to an entity account. In this scenario, a Senior administrator or Administrator of an entity account such as a law firm partnership will send you an invitation key and you will be prompted to register your portal account as part of that process.

All portal users log in to their individual account before selecting who they would like to represent - including themselves - from their list of ‘current connections’.

Benefits of using the portal:

  • Structured online transactions with mandatory fields and questions that make it easier for stakeholders to ensure the information ASIC requires is provided upfront. Links to the relevant ASIC regulatory guidance will be included.
  • Track the status of your transactions via your portal account.
  • Correspond with ASIC online about submitted transactions.
  • Fee estimates automatically calculated based on the information provided in the transaction.
  • Online payment options and a record of invoice history.
  • Attach supporting documentation.
  • Invite others to act on your behalf in the portal.
  • Restrict access so only select users can see and access your transactions in the portal. 

Important information for issuers of fundraising offer documents

  • From 27 July 2020, issuers no longer use OFFERlist Entry to expose their offers to the public. 
  • Issuers will now lodge their fundraising offer documents with ASIC through the ASIC Regulatory Portal
  • Details of the offer will then be shown on the public database as part of the portal lodgement process.
  • The public data base is Offer Notice Board (formerly OFFERlist).

Existing submission channels remain in place for

  • Notifications for Product Disclosure Statements, including in-use notices (forms FS88, FS89 and FS90). See our website for how to lodge.
  • Fundraising Disclosure Document for an issuer of securities that does not have an ASIC identifier (ACN, ARBN or ARSN) – use  Corporations.Lodgements@asic.gov.au
  • Lodgments for employee share schemes and employee incentive schemes (use Corporations.Lodgements@asic.gov.au) including:
    • Disclosure documents for employee share and incentive schemes.
    • Notice of reliance of Class Order [CO 14/1000] Employee incentive Schemes: Listed Bodies.
    • Notice of Class Order [CO 14/1001] Employee Incentive Schemes: Unlisted Bodies.

Frequently asked questions

What is the ASIC Regulatory Portal?

The ASIC Regulatory Portal will become your central access to our growing suite of regulatory services, which are being consolidated onto the portal over time.

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Can I register on the portal now?

You can register for portal access at any time.

Anyone required to use the portal to transact with ASIC will need to register their own account.

Selecting the ‘I just want to register’ tile on the registration page is an easy way to set up an account.

For more information on how to register, see our user guide.

Note that many entities already have portal accounts for breach reporting and their annual industry funding obligations.

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Can someone act on my behalf in the portal?

  • Yes. If you would like someone to act on your behalf in the portal, you first need to invite them to connect to your account.
  • When inviting someone to connect you can define their Access level to control what they can and can’t do on your behalf. For example, you can authorise a trusted representative such an associate or agent to launch and edit a transaction, but not submit it.
  • There are four Access levels – Senior administrator, Administrator, Approver and Editor.
  • Only the Senior administrator or an Administrator of the account can invite other users to connect. If you registered the account, you will be the Senior administrator by default.
  • The person you invite will receive an email with an invitation key. The invitee will need to register an account of their own if they don’t have one already.
  • For more information, including on how to invite someone to connect to your account, see the Administration section on the FAQ page.

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Can I represent another entity (such as a company) in the portal?

  • You can submit the new transactions on behalf of other entities from your own portal account. The transactions in the portal are structured to make it easier for you to ensure the information ASIC requires is provided upfront.
  • Alternatively, to connect to the account of an entity (such as a company) and to act on its behalf in the portal, you must first be invited by the Senior administrator or an Administrator of that entity’s portal account.
  • See also:

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How do I connect my portal account to a company?

Only a Director or Secretary of the company can perform the initial registration (explained below). They can then invite others to connect and act on their behalf. Many companies should already be registered on the portal to meet their annual industry funding obligations.

For more information on how to connect your portal account to another entity such as a company, see How do I connect my portal account to an entity, or multiple entities.

Steps to perform initial registration:

  1. Go to the registration page - https://regulatoryportal.asic.gov.au/registration/
  2. Select ‘I want to act on behalf of a registered company or body’ tile.
  3. In the ‘Entity type' drop-down list select ‘Australian Registered Company’ and provide the relevant information to register. You will need to have the following on hand:
    • ASIC Identifier (Australian Company Number (ACN),
    • Corporate Key (for more information, see Corporate Key.
  4. Provide some personal contact details.
  5. Make final declaration.

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How do I connect my portal account to a partnership?

  • A partner can only connect to their partnership in the portal if the partnership exists on ASIC’s records. You can search our registers to check if a business name or Australian Business Number (ABN) is known to ASIC.
  • A partner will need to connect to the partnership either during the registration process (explained below) or through the ‘Connect to an entity’ function if they have already registered their individual account. 
  • The first partner to register and connect to the partnership will be the Senior administrator, who can then invite other portal users to connect to the partnership to act on its behalf.
  • The account will contain a record of all the transactions submitted by users acting on behalf of the partnership.
  • You can contact us if you need help connecting to a partnership in the portal.

Only a partner can perform the initial registration. Follow these steps to register:

  1. Go to the registration page - https://regulatoryportal.asic.gov.au/registration/
  2. Select ‘I want to act on behalf of a registered company or body’ tile.
  3. In the 'Entity type' drop-down list select ‘Other
  4. In the ‘Category’ drop-down list select ‘Partnership’ and provide the relevant information to register. Have either of these on hand to progress:
    • Australian Business Number (ABN) and ASIC key in relation to ABN
    • Australian financial services licence number and ASIC key in relation to an Australian financial services licence number
    • Australian credit licence number.
  5. Confirm that you are a current partner of the partnership.
  6. Provide some personal contact details.
  7. Make final declaration.

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What are Access levels?

There are four Access levels – Senior administrator, Administrator, Approver and Editor.

  • Senior administrator – can launch, edit and submit a transaction, invite other users to the entity and view other administrative details for an entity
  • Administrator – can launch, edit and submit a transaction and invite other users to the entity.
  • Approver – can launch, edit and submit a form or transaction, and view other administrative details for an entity. Firms may invite senior staff to this level of access, so they can submit a transaction after a partner has approved the initial draft.
  • Editor – in general, can launch and edit a form and transaction, but they cannot submit it.

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Can I restrict access to specific transactions in the portal?

Yes. Once you (or anyone invited to act on your behalf) launch a form or transaction, the portal will direct you to a transaction settings page. The transaction settings page asks if you want to restrict access to the transaction. To restrict access, click Yes – restrict access. This will take you to a set restrictions page, which allows you to select users on that account who can access the transaction.

Once you have set the restrictions for a transaction, you also have the option to add or remove users later.

More information on restricting access to transactions is on the FAQ page.

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I am a registered agent – does this change impact other ASIC portals that I use?

No. This change does not impact how registered agents use the Registered Agent or Company Officeholders portals via the ASIC website.

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What's new

More releases on fundraising

Last updated: 27/10/2020 01:21