Aggregated News From Investment Management Regulators

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

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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.

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Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia

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