How to lodge with ASIC...

Lodge online

Register for online access

Download paper forms

Search ASIC forms

Search ASIC registers

Number:  -- OR --
Name:  

Search Options

--------------------------------------------------

Show all registers

decrease text size increase text size print page

Road map - fundraising



Other topics | About the road map

Topic



Offers needing a disclosure document
Reconstructions
RG 41Limited partnerships fundraising
RG 188Disclosure in reconstructions
CO 07/10Technical disclosure relief for reconstructions and capital reductions
Business introduction or matching services
CO 02/273 Business introduction or matching services
Rights issues
RG 189Disclosure relief for rights issues
CO 07/571Disclosure exemption for rights issues
CO 08/35Disclosure relief for rights issues
Offers that do not need a disclosure document
RG 151Fundraising: Discretionary powers
Employee share schemes
CO 02/314Employee redundancy funds: relief
CO 03/184Employee share schemes
Foreign disclosure documents - mutual recognition
RG 72Foreign securities prospectus relief
RG 163Takeovers: Minimum bid price principle
CO 00/177Fundraising exemption: NZ prospectuses
CO 00/178Foreign securities: publishing of reports and notices
CO 00/179Foreign securities: publishing of reports and notices
CO 00/180Foreign securities: publishing of reports and notices
CO 00/181Foreign securities: publishing of reports and notices
CO 00/183Foreign rights issue
CO 00/184Relief to facilitate offer of interests in registered schemes in New Zealand
CO 00/185Foreign securities
CO 00/214Foreign securities: listed foreign companies making 20 or fewer offers in Australia in 12 months
CO 05/850Unsolicited offers under a regulated foreign takeover bid
CO 07/9Prospectus relief for foreign schemes of arrangement and PDS relief for Pt 5.1 schemes and foreign schemes of arrangement
Continuously quoted securities
CO 00/168Relief from exposure period: quoted securities
CO 00/843Options over listed securities: exposure period relief
CO 01/1455Continuously quoted securities
On sale of securities/secondary sales
RG 56Prospectuses
RG 66Time-sharing schemes
RG 67Real estate companies
RG 92 Horse breeding Schemes
RG 129Business introduction or matching services
RG 140Serviced strata schemes
RG 173Disclosure for on-sale of securities and other financial products
RG 188Disclosure in reconstructions
CO 02/334Secondary sale of securities: section 707(3) and section 707(4) — variation
CO 02/608Warrants: relief from PDS requirements for secondary sales
CO 04/653On-sale disclosure relief for scrip bids
CO 04/671Disclosure for on-sale of securities and other financial products
CO 04/672Extension of on-sales exemptions
Personal offers
RG 56Prospectuses
RG 72Foreign securities prospectus relief
CO 00/237Twenty issues in 12 months exemption — transitional aspects
Qualified accountant
RG 154Certificate by a qualified accountant
CO 01/1256Qualified accountant
Share purchase plans
RG 125Small offers of shares to existing shareholders by listed companies – share purchase plans
CO 00/238Dividend reinvestment plans
CO 02/831Share purchase plans
CO 02/832Interest purchase plans
Disclosure documents and product disclosure statements

See also Financial services: product disclosure
RG 66 Transaction specific disclosure
CP 69Disclosing pro forma financial information (draft)
RG 159Takeovers, compulsory acquisitions and substantial holdings
REP 23A model for fee disclosure in product disclosure statements for investments products—An ASIC report
REP 83Small and mid-cap miners study
Additional investments
RG 127Additional investments in managed investment schemes
Applications
RG 23Updating and correcting prospectuses and application forms
RG 150Electronic applications and dealer personalised applications
CO 00/44Electronic disclosure documents, electronic application forms and dealer personalised applications
CO 00/189Use of original application form with s724(3) documents
CO 00/1092Application form relief for bonus issues of options
CO 00/173Debenture prospectuses: incorporation of information on application forms
CO 02/262Applications to switch managed investment products
Consent to quote
RG 55Disclosure documents and PDS: consent to quote
CO 07/428Consent to quote: Citing credit ratings, trading data and geological reports in disclosure documents and PDS
Research analyst reports
RG 79Managing conflicts of interest: An ASIC guide for research report providers
REP 24Research analyst independence
CO 00/193Experts: citing in disclosure documents
Rights issues
CO 07/571Disclosure exemption for rights issues
Offer information statements
CO 00/172Offer information statements: relief in relation to financial statements
RG 157Financial reports for offer information statements
Profile statements
CO 00/166Profile statements
CO 00/167Relief from exposure period: profile statements
Product disclosure statements See also Financial services: product disclosure statements
RG 55Disclosure documents and PDS: consent to quote
Prospective financial information
RG 170 Prospective financial information
Prospectuses
RG 23Updating and correcting prospectuses and application forms
RG 55Disclosure documents and PDS: consent to quote
RG 56Prospectuses
RG 69Debentures - improving disclosure for retail investors
RG 70Prospectuses for cash box and investment companies
RG 99Quotation of securities offered by prospectus
RG 107Electronic prospectus
RG 127Additional investments in managed investment schemes
RG 141Offers of securities on the Internet
RG 150Electronic applications and dealer personalised applications
RG 155Debenture prospectus
CO 00/169Relief from exposure period: Supplementary and replacement prospectuses
CO 00/173Debenture prospectuses: incorporation of information on application forms
CO 00/174Debenture prospectuses: updating of interest rate and term information
CO 00/177Fundraising exemption: NZ prospectuses
CO 07/9Prospectus relief for foreign schemes of arrangement and PDS relief for Pt 5.1 schemes and foreign schemes of arrangement
Supplementary/replacement documents
RG 23Updating and correcting prospectuses and application forms
RG 127Additional investments in managed investment schemes
CO 00/169Relief from exposure period: Supplementary and replacement prospectuses
CO 00/190Substituting or consolidating supplementary disclosure documents
Electronic offers
RG 107Electronic prospectus
RG 141Offers of securities on the Internet
RG 150Electronic applications and dealer personalised applications
CO 00/44Electronic disclosure documents, electronic application forms and dealer personalised applications
CO 02/246Offers of securities on the internet
Quotation of securities
RG 99Quotation of securities offered by prospectus
CO 00/168Relief from exposure period: quoted securities
CO 00/843Options over listed securities: exposure period relief
CO 00/656 Announcements to securities exchanges about offers by subsidiaries of the listed body
CO 01/1455Continuously quoted securities
Hawking and advertising

See also Financial services: hawking and advertising
RG 38The hawking prohibitions: An ASIC guide
RG 56Prospectuses
RG 102Tender offers by vendor shareholders
RG 141Offers of securities on the internet
RG 156Debenture advertising
RG 158Advertising and publicity for offers of securities
REP 22A review of the research on the past performance of managed funds
REP 38High-yield debentures—ASIC surveillance report
CO 00/175Pre-prospectus roadshow presentations
CO 00/176Pre-prospectus market research
CO 02/641Hawking — securities and managed investments
Type of security
Convertible securities
CO 00/195Offer of convertible securities under s713
Debentures
RG 30Paperless issues under a global debenture
RG 63Access to debenture and prescribed interest registers
RG 69Debentures - improving disclosure for retail investors
RG 87Charitable investment schemes and school enrolment deposits
RG 155Debenture prospectuses
RG 156Debenture advertising
REP 38High-yield debentures—ASIC surveillance report
CO 00/173Debenture prospectuses: incorporation of information on application forms
CO 00/174Debenture prospectuses: updating of interest rate and term information
Foreign quoted securitiesSee Foreign disclosure documents - mutual recognition
Managed investmentsSee Managed investment schemes
CO 00/240Treatment of offers of interests in managed investment schemes
Warrants
CO 00/1068Warrants: fundraising relief
CO 03/957 ASX managed investment warrants — disclosure and reporting exemptions
ASIC's role
Exposure period
RG 152Lodgement of disclosure documents
CO 00/168Relief from exposure period: quoted securities
CO 00/169Relief from exposure period: Supplementary and replacement prospectuses
CO 00/843Options over listed securities: exposure period relief

decrease text size increase text size print page