Aggregated News From Investment Management Regulators

Relief applications and documents to be lodged through ASIC Regulatory Portal from 27 July

Report/Flag

Please complete the required fields.



We have made changes to the way applications for relief and various fundraising and corporate finance documents are submitted to us.

From Monday 27 July, the ASIC Regulatory Portal has replaced other channels as the primary way to submit applications for relief and various fundraising and corporate finance documents to ASIC.

These applications and documents are now submitted through the portal using online forms known as transactions – which are structured to make it easier for stakeholders to provide ASIC with the required information.

A range of security features in the portal ensure stakeholders can determine who can see, edit or submit their transactions.  They can also record correspondence with ASIC about submitted transactions and track their status.

The applications for relief transactions enable stakeholders to apply for:

  • an ASIC approval, consent, statement, nomination, or other
  • a waiver from ASIC market integrity rules
  • a no-action letter
  • an exemption, declaration or order
  • an extension of time for a company to hold its annual general meeting.

The fundraising and corporate finance transactions enable stakeholders to lodge and submit:

  • fundraising disclosure documents or statements. Details of fundraising offers will be listed publicly on the new Offer Notice Board (formerly OFFERlist).
  • takeover documents – target’s statement and notices
  • takeover documents – bidder’s statement and notices
  • scheme of arrangement documents – explanatory statements and court orders
  • shareholder meeting materials – related party transactions or acquisition approvals.

Information about how to submit the new portal transactions is available from our applications for relief and fundraising and corporate finance webpages.

Source link

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia

Recent Articles

SEC Charges Eagle Bancorp and Former CEO with Failing to Disclose Related Party Loans

Washington D.C., Aug. 16, 2022 — The Securities and Exchange Commission today charged Eagle Bancorp, Inc.

Warning regarding unregulated entities

See a PDF of the Warning published by the Cyprus Securities and Exchange Commission (CySEC CY) here: Source link

Announcement for a Case of Carrying out Securities Business without Authorisation

In line with the Capital Market Authority's (CMA) responsibilities to protect citizens and investors from unfair and unsound practices, and aiming to achieve fairness,...

OCC Hosts Risk Governance and Compliance Risk Workshops in Minneapolis

  • +1Bank Management, Banker Education, Board of Directors & Management, Community Banks
News Release 2022-99 | August 15, 2022 Share This Pag

Get the latest from Regulatory.News in your inbox!

×