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For auditors



The auditing profession plays an important role in maintaining and promoting confidence and integrity in Australia’s capital markets.

Audit regulation activities have developed significantly in Australia since the introduction of enhanced regulatory requirements for auditors in July 2004, the issuing of legally enforceable Auditing standards in July 2006 and amendments enabling greater co-operation with international audit regulators in July 2007.

ASIC is responsible for administering the requirements of the Corporations Act as it relates to auditor independence (Divisions 3, 4 and 5 of Part 2M.4) and audit quality (Division 3 of Part 2M.3). Our audit oversight activities help maintain and raise the standard of conduct in the auditing profession. While these activities have an educational and compliance focus, enforcement action can be taken where significant non-compliance is identified.


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Auditor applications and document lodgement

Information about auditor registration, appointment, relief, cancellation, resignation, change of details, annual reporting requirements and breach notifications, and lodgement of applicable documents

Auditor independence and audit quality

An overview of two core audit concepts

Audit inspection and surveillance programs

Overviews of the audit inspection and surveillance programs and processes

Whistleblowing

Background information and your responsibility to deal with a whistleblower's revelation when divulged to the company's auditor or member of the audit team


Financial reporting and audit overview

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