Lodging prospectuses and other disclosure documents

You must lodge your disclosure document with ASIC before it can be used to raise funds. For more information see Regulatory Guide 254 Offering securities under a disclosure document (RG 254).

Lodge through the ASIC Regulatory Portal

You should lodge your fundraising disclosure documents with ASIC through the ASIC Regulatory Portal.

Applications for relief should also be submitted through the ASIC Regulatory Portal. Fees will apply to an application and details about payment options are provided in the portal. For more information see, how you apply for relief.

The portal features structured online transactions with mandatory fields and questions that make it easier for you to provide the information ASIC requires. Links to the relevant ASIC regulatory guidance are included.

You can no longer use ‘OFFERlist Entry’ to record summary information about your offer for exposure to the public. 

Details of your offer will be shown on the public Offer Notice Board, as part of the portal lodgement process.

Offer Notice Board was formerly known as ‘OFFERlist’.

For more information, see How you lodge fundraising and corporate finance documents.

When will my document be accepted for lodgement?

Unless you are otherwise notified that ASIC has refused acceptance pursuant to s1274(8), your document is taken to have been lodged with ASIC at the time we receive your portal transaction and the required attached documents. The ASIC Regulatory Portal User Agreement has more information. 

Can I lodge documents outside of business hours?

You may lodge documents at any time through the Regulatory Portal, however documents lodged outside of hours may attract additional scrutiny. We will make enquiries as to why the lodgement could not occur during business hours and pay particular attention to the timing and deadlines of offers. 

Where a prospectus is subject to an exposure period, we will generally extend the exposure period where the offer has been lodged over the weekend or on a national public holiday.

Can I lodge documents while ASIC’s offices are closed in December?

You may lodge documents through the Regulatory Portal even when our offices are closed in late December and early January each year. However, ASIC Corporations (ASIC Close Down Period) Instrument 2018/1034 may extend (without any further notice from us):

  • the time period in which we must register managed investment schemes under s601EB of the Corporations Act 2001 from 14 to 21 days; and
  • the exposure periods that apply to disclosure documents offering securities and Product Disclosure Statements under s727 and 1016B of the Corporations Act 2001 from 7 to 14 days.

You should check that instrument and consider its effect in your circumstances, if you lodge:

  • an application for registration of a managed investment scheme, from 5 pm on the last business day before 11 December until 9 am on the first business day after 1 January of the next calendar year; or
  • a Product Disclosure Statement or a disclosure document offering securities, from 5 pm on the last business day before 18 December until 9 am on the first business day after 1 January of the next calendar year.

Which documents can I lodge through the portal?

The documents listed in the table below can now be lodged through the ASIC Regulatory Portal:

Document name

Corporations Act provision requiring lodgement

Documents relating to fundraising

Replacement prospectus for equities

s719

Replacement offer information statement

s719

Replacement profile statement

s719

Replacement short form prospectus for equities

s719

Replacement Product Disclosure Statement

s1014L

Supplementary statement for equities

s719

Supplementary PDS Statement

s1015B

Documents lodged in relation to a short form prospectus

s712

Offer document – Mutual Recognition Scheme

s1200C(5)

Supplementary or replacement document – Mutual Recognition Scheme

s1200G(9)

Change to offer document – Mutual Recognition Scheme

s1200G(9)

Notice of Australian offer under Foreign Recognition Scheme

s1200C(5)

Documents relating to schemes of arrangement

Court order re scheme of arrangement

s411(10)

Notice of hearing for scheme of arrangement

s411(2)

Application for abridgement of time to provide notice of hearing for scheme of arrangement

s411(2)(a)

Draft explanatory statement regarding compromise or arrangement

s411(2)(b)

Court order facilitating reconstruction

s413(3)

Application for para. 411(17)(b) statement of no objection to compromise or arrangement

s411(17)(b)

Registration copy of explanatory statement

s412(6)

Court Orders for meeting concerning compromise or arrangement

Court Rules (var.)

Documents relating to takeovers

Bidder’s statement and offer – off market

s633(1) – item 2

Target’s statement and reports – off market

s633(1) – item 13

Notice of status of defeating condition – off market – unquoted bid class securities

s630(2), (3), (4) and(5)

Notice of service of bidder’s statement – off market – s633 Step 4

s633(1) – item 4

Notice that takeover offers have been sent – off market – s633 Step 9

s633(1) – item 9

Takeover bidder’s statement and documents sent to ASX – on market

s635 – item 5

Document accompanying bidder’s statement – on market bid – s635 Step 7

s635 – item 7

Target’s statement and reports – on market – s635 Step 12

s635 – item 12

Bidder’s supplementary statement

s647(3)(a)

Target’s supplementary statement

s647(3)(a)

Replacement bidder’s statement – Class Order 13/528

s633A(2) and s635A(2) (Class Order 13/528)

Replacement bidder’s statement marked up – Class Order 13/528

s633A(2) and s635A(2) (Class Order 13/528)

Court order regarding proportional takeover provisions in constitution

s648G

Notice of variation in takeover offer – on market

s649C

Notice of variation in takeover offer – off market

s650D

Notice offers free of defeating condition – off market bid

s650F

Notice of record date for determining who is to be sent bidder’s statement

633(4)

Notice of disclosure regarding substantial holding in bid period

s654C(3)

Notice of objection regarding compulsory acquisition/buy out

s664E(2)

List of members objecting to compulsory acquisition/buy out

s664E(3)(b)

Documents relating to compulsory acquisition

Notice of compulsory acquisition following takeover bid

s661B

Notice of right of buy out to remaining holder of securities following a takeover bid

s662B

Notice of right of buy out to holders of convertible securities following a takeover bid

s663B

Notice of compulsory acquisition

s664C(2)(A)

Notice of right of buy out to holders of convertible securities by 100% holder

s665B(1)(b)

Documents and applications relating to meetings (including related party transactions)

Document lodged under item 7 of section 611

RG 74

Application for extension of time to hold Annual General Meeting

s250P

Related party benefits – proposed notice, explanatory statement & accompanying documents

s218(1)

Application for reduction of lodgement period under s218(1)

s218(2)

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Last updated: 20/10/2014 12:00