ASIC annual reports

 

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2013-2014 Annual report

PDF version

2012–13 Annual report

Read online

PDF version

  • Full report (PDF 3,292 KB)
  • Front pages (PDF 939 KB) – includes Table of Contents, Letter of Transmittal, Chairman's report and Commissioners
  • Section 1 – About ASIC (PDF 653 KB) – includes ASIC's role, Corporate structure as at 30 June 2013, Regulated populations and key responsibilities, ASIC’s surveillance coverage of regulated populations in 2012–13, Major enforcement outcomes, Financial summary and expenditure
  • Section 2 – Outcomes in Detail (PDF 1,477 KB) – includes Priority 1 – Confident and informed investors and financial consumers, Priority 2 – Fair and efficient financial markets, Priority 3 – Efficient registration and licensing, Assessing misconduct and other reports, Performance against Service Charter, Regional activities
  • Section 3 –People, Community and Environment (PDF 648 KB) – includes ASIC’s people, ASIC in the community, Indigenous awareness and action at ASIC, Environmental performance
  • Section 4 – Financial statements (PDF 1,062 KB)
  • Section 5 – Appendices (PDF 297 KB) – includes The role of Commissioners, Audit Committee and audit, assurance and compliance services, External committees and panels, Portfolio Budget Statements, Six-year summary of key stakeholder data, Reports required under statute and other requirements, Consultancies and expenditure on advertising, ASIC's use of its powers, Glossary, Compliance index, General index, Contact details

2011–12 Annual report

Read online

PDF version

  • Full report (PDF 6270 KB)
  • Front pages (PDF 1,116 KB) – includes Table of Contents, Letter of Transmittal, Chairman's report and Commissioners
  • Section 1 – About ASIC (PDF 2,265 KB) – includes Corporate structure as at 30 June 2012, Regulated populations and key responsibilities, Financial summary and expenditure, ASIC’s surveillance coverage of regulated populations in 2011–12, ASIC at work
  • Section 2 – Outcomes in Detail (PDF 1,755 KB) – includes Priority 1 – Confident and informed investors and financial consumers, Priority 2 – Fair and efficient financial markets, Priority 3 – Efficient registration and licensing, Assessing misconduct and other reports, Performance against Service Charter, Regional activities
  • Section 3 –People, Community and Environment (PDF 1,345 KB) – includes ASIC’s people, ASIC in the community, Indigenous awareness and action at ASIC, Environmental performance
  • Section 4 – Financial statements (PDF 1,988 KB)
  • Section 5 – Appendices (PDF 1,101 KB) – includes The role of Commissioners, Audit Committee and audit, assurance and compliance services, External committees and panels, Portfolio Budget Statements, Six-year summary of key stakeholder data, Reports required under statute and other requirements, Consultancies and expenditure on advertising, Significant compulsory information‑gathering powers, Major enforcement outcomes, Glossary, Compliance index, General index, Contact details

2010–11 Annual report

  • Full report (PDF 2,918KB)
  • Part 1 (PDF 1097KB) : Letter of transmittal, Chairman’s report, Commission members at 30 June 2011, Corporate structure at 30 June 2011, Regulated populations and key responsibilities, Regional activities, Major outcomes: Financial market integrity and protection of investors and consumers, and Major outcomes: Real Economy
  • Part 2 (PDF 1470KB) : Outcomes: Financial summary and expenditure, Outcomes: Financial market integrity and protection of investors and consumers, Outcomes: Real Economy, ASIC staff: Highlights, ASIC in the community: Highlights, Economic overview and outlook
  • Part 3 (PDF 1482KB) : Appendices: The role of Commissioners; ASIC’s role as a regulator; Audit Committee and audit, assurance and compliance services; External committees and panels; Outcomes: Portfolio Budget Statements; Six-year summary of key stakeholder data; Reports required under statute and other requirements; Consultancies and expenditure on advertising; Significant compulsory information-gathering powers; Major deterrence outcomes, Financial statements, Glossary, Index, ASIC: The first 20 years 1991–2011, Contact details, Back cover

2009–10 Annual report

  • Full report (3,711 KB)
  • Part 1: Front cover; Letter of transmittal, 09–10 At a glance; Chairman’s report; Commissioners; Financial summary; Regulating through and beyond the crisis; Deterrence: Summary and major actions (1,788 KB)
  • Part 2: ASIC's priorities and key achievements; Priority 1: Assist and protect retail investors and financial consumers; Priority 2: Build confidence in the integrity of Australia’s capital markets; Priority 3: Facilitating international capital flows and international enforcement; Priority 4: Manage the domestic and international implications of the global financial turmoil; Priority 5: Lift operational effectiveness and service levels for all ASIC stakeholders; Priority 6: Improve services and reduce costs by using new technologies and processes (814 KB)
  • Part 3: New responsibilities; ASIC’s people; ASIC in the community; ASIC in the environment; ASIC in regional Australia; Additional ASIC outcomes; Organisational structure; ASIC’s stakeholders; Regional Commissioners; Working at ASIC; Where ASIC fits in the regulatory picture; Audit Committee and audit, assurance and compliance services; Appendices (1,473 KB)
  • Part 4: Financial statements; Glossary; Index; Contact details (1,158 KB)

2008–09 Annual report

  • Full report (PDF 5,484 KB)
  • Part 1: Front cover; 08–09 At a glance; ASIC’s priorities and key achievements; Chairman’s report; Financial summary; Regulating during market turbulence; Major enforcement: summary and actions (735 KB)
  • Part 2: Priority 1: Assist and protect retail investors and financial consumers; Priority 2: Build confidence in the integrity of Australia’s capital markets; Priority 3: Facilitating international capital flows and international enforcement; Priority 4: Manage the domestic and international implications of the global financial turmoil; Priority 5: Lift operational effectiveness and service levels for all ASIC stakeholders; Priority 6: Improve services and reduce costs by using new technologies and processes (523 KB)
  • Part 3: ASIC’s people; ASIC in the community; ASIC in the environment; ASIC in regional Australia; Additional ASIC outcomes and outputs (achievements); Organisational structure; ASIC’s stakeholders; Commissioners; Regional Commissioners; Working at ASIC; Where ASIC fits in the regulatory picture; Audit Committee and audit, assurance and compliance services; Appendices (585 KB)
  • Part 4: Financial statements; Glossary; Index; Contact details (872 KB)

2007–08 Annual report

  • Full report (PDF 3214 KB)
  • Part 1: Front cover; ASIC at a glance; Our key achievements; Chairman's report; Financial Summary; Regulating during market turbulence; Major enforcement actions; (PDF file, 1578 KB)
  • Part 2: Consumers and retail investors; Capital market integrity; Facilitating capital flows; Helping small and medium businesses; Lifting operational effectiveness; Strategic review (368 KB)
  • Part 3: ASIC in the Community; Our people; Organisation; Commissioners; Senior executives; Regional Commissioners; Where ASIC fits in the Regulatory Picture; Procurement; ASIC's people; ASIC Service Charter; Audit Committee and Audit, Assurance and Compliance Services (449 KB)
  • Part 4: Appendices; ASIC outcomes and outputs; Six-year summary; Financial statements; Glossary; Index; Contact details (PDF file, 1071 KB)

2006–07 Annual report

  • Full report (PDF 2,489 KB)
  • Part 1: Front cover; ASIC at a glance; ASIC highlights; Chairman's report; Effectiveness; Financial summary; Our people, Organisation; (PDF file, 781 KB)
  • Part 2: Operational summary, Enforcing the law; Protecting consumers; Promoting compliance; Regulatory work; Public information services, International cooperation, Supporting ASIC's business (219 KB)
  • Part 3: Where ASIC fits in the regulatory picture; Commissioners; ASIC governance; Managing risk; Stakeholder consultation and regional involvement; ASIC's people, ASIC's service charter: how we performed, Audit commmitee and audit, assurance and compliance services; Appendices; 6 year summary (266 KB)
  • Part 4: Financial statements; index; contact details; back cover (PDF file, 1390 KB)

Selected highlights from the 2006–07 annual report

2005–06 Annual report

  • Full report (2549 KB)
  • Part 1: Front cover; ASIC at a glance; ASIC highlights; Chairman's report; Better regulation; Effectiveness; Priorities and key results; Staff; Financial summary; Organisation; Operational summary (PDF file, 673 KB)
  • Part 2: Enforcement; Consumer protection; International cooperation; Compliance; Regulation; Operations and staffing; Finance (333 KB)
  • Part 3: Where ASIC fits in the regulatory picture; Commissioners; ASIC governance; Managing risk; Community and regional involvement; Audit commmitee and audit services; Appendices; 6 year summary (176 KB)
  • Part 4: Independent audit report; Financial statements; index; directory; back cover (PDF file, 1472 KB)

Selected highlights from the 2005–06 annual report

Read our media release, 31 October 2006

2004–05 Annual report

  • Full report (1333 KB)
  • Part 1: Front cover; ASIC at a glance; ASIC highlights; Chairman's report; Effectiveness; Strategies; Staff; Financial summary; Organisation chart; Operational summary (PDF file, 368 KB)
  • Part 2: Enforcement; Consumer protection; Compliance; Regulation; Operations and staffing; Finance
  • Part 3: Where ASIC fits in the regulatory picture; Commissioners; ASIC governance; Managing risk; Community and regional involvement; Audit commmitee and audit services; Appendices; 6 year summary (PDF file, 783 KB)
  • Part 4: Financial statements; index; directory; back cover (PDF file, 269 KB)

Selected highlights from the 2004–05 annual report

Read our media release, 14 October 2005

Independent audit report Statement from the Australian National Audit Officeabout the electronic presentation on this website of the audited financial report of ASIC for the year ended 30 June 2005 (PDF file, 184 KB).

2003–04 Annual report

  • Full report (1333 KB)
  • Part 1: Front cover; ASIC at a glance; ASIC highlights; Chairman's report; Effectiveness; Strategies; Staff; Financial summary; Organisation chart; Operational summary (PDF file, 368 KB)
  • Part 2: Enforcement; Financial services regulation; Markets regulation and policy; Consumer protection and international relations; Public and commercial services; Infrastructure and staff; Where ASIC fits in the regulatory picture; ASIC governance; Managing risk; Community and regional involvement; ASIC audit commmitee and audit services; Appendices; 6 year summary (PDF file, 783 KB)
  • Part 3: Financial statements; index; directory; back cover (PDF file, 269 KB)

Highlights from our 2003-04 annual report

Building confidence in financial markets: ASIC annual report 2003–04, Media release 04-374, 17 November 2004.

Independent audit report Statement from the Australian National Audit Officeabout the electronic presentation on this website of the audited financial report of ASIC for the year ended 30 June 2004 (PDF file, 184 KB).

2002–03 Annual report

  • Full report (PDF file, 730KB)
  • Part 1: Front cover; ASIC's profile; 2002-03 highlights; Chairman's report; 3 year perspective; Objectives, plans and results; Financial report; Organisation chart; Where ASIC fits in the regulatory picture; Description ASIC's directorates; Commissioners; ASIC governance ethics and audit: Community involvement (PDF file, 230KB)
  • Part 2: Enforcement; Financial services regulation; Markets regulation and policy; Consumer protection; International relations and regional coordination; Public and commercial services; Infrastructure; Our staff; ASIC Audit Committee and audit services; Appendices; 6 year summary (PDF file, 365KB)
  • Part 3: Financial statements; index; back cover (PDF file, 269KB)

Independent audit report Statement from the Australian National Audit Office about the electronic presentation on this website of the audited financial report of ASIC for the year ended 30 June 2003 (PDF file, 147KB).

Read our media release 03-351 ASIC Annual Report 2002-03 'Enforcement an essential part of regulation', released 5 November 2003.

2001–02 Annual report

Media Release 02/376 ASIC annual report 2001-02: Tackling ethics and governance

2000–01 Annual report

  • The full report
  • Part 1 (293KB)Front cover, ASIC at a glance, 2000-2001 at a glance, results, 3-year comparison, outlook, Chairman's report, summary financial report, Directorates, community involvement, governance
  • Part 2 Enforcement, Financial Services Reform, markets regulation and policy, consumer protection, Consumer Advisory Panel report, international and regional coordination, public and commercial services, infrastructure, Audit Committee, appendices, 6-year summary (786KB)
  • Part 3 Financial statements, index, back cover(214KB)

1999–2000 Annual report

1998–99 Annual report

Our annual report for 1998-99 received a Gold Award from Annual Report Awards Inc, for the first time, being in the top 12 of 346 entries from companies, associations and government bodies. This means we produced a model report achieving overall excellence with full disclosure of key aspects of what we do.

1997–98 Annual report

Where to find ASIC annual reports

You can view copies of ASIC annual reports at these libraries.

Western Australia Legal Deposit Alexander Library Building Battye Library Perth Cultural Centre Perth WA 6000 Ph: (08) 9427 3296 Tasmania Legal Deposit State Library of Tasmania 91 Murray Street Hobart Tas 7000 Ph: (03) 6233 7502
Queensland Legal Deposit State Library of Queensland PO Box 488 South Brisbane Qld 4101 Ph: (07) 3840 7893 Legal Deposit Parliamentary Library
Parliament House George Street Brisbane Qld 4000 Ph: (07) 3406 7199
South Australia Legal Deposit Mortlock Library of South Australia State Library of South Australia GPO Box 419 Adelaide SA 5001 Ph: (08) 8207 7200
Legal Deposit Parliamentary Library GPO Box 572 Adelaide SA 5001
Ph: (08) 8237 9398
New South Wales Legal Deposit State Library of NSW Macquarie Street Sydney NSW 2000 Ph: (02) 9273 1489 Fax: (02) 9273 1246 Email: orders@sl.nsw.gov.au
Legal Deposit NSW Parliamentary Library Parliament House Macquarie Street Sydney NSW 2000 Ph: (02) 9230 2384 Legal Deposit University of Sydney Library University of Sydney Sydney NSW 2006 Ph: (02) 9351 7268
Australian Capital Territory Legal Deposit National Library of Australia Canberra ACT 2600 Ph: (02) 6262 1312
Northern Territory Legal Deposit Northern Australia Collection Northern Territory Library
GPO Box 42 Darwin NT 0801 Ph: (08) 8999 7364
Victoria Legal Deposit State Library of Victoria 328 Swanston Street Melbourne Vic 3000 Ph: (03) 9669 9621

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Last updated: 30/10/2014 08:46