Lodging prospectuses and other disclosure documents
You must lodge your disclosure document with ASIC before it can be used to raise funds. For more information see Regulatory Guide 254 Offering securities under a disclosure document (RG 254).
Lodge through the ASIC Regulatory Portal
You should lodge your fundraising disclosure documents with ASIC through the ASIC Regulatory Portal.
Applications for relief should also be submitted through the ASIC Regulatory Portal. Fees will apply to an application and details about payment options are provided in the portal. For more information see, how you apply for relief.
The portal features structured online transactions with mandatory fields and questions that make it easier for you to provide the information ASIC requires. Links to the relevant ASIC regulatory guidance are included.
You can no longer use ‘OFFERlist Entry’ to record summary information about your offer for exposure to the public.
Details of your offer will be shown on the public Offer Notice Board, as part of the portal lodgement process.
Offer Notice Board was formerly known as ‘OFFERlist’.
For more information, see How you lodge fundraising and corporate finance documents.
When will my document be accepted for lodgement?
Unless you are otherwise notified that ASIC has refused acceptance pursuant to s1274(8), your document is taken to have been lodged with ASIC at the time we receive your portal transaction and the required attached documents. The ASIC Regulatory Portal User Agreement has more information.
Can I lodge documents outside of business hours?
You may lodge documents at any time through the Regulatory Portal.
Where a prospectus is subject to an exposure period, we will generally extend the exposure period where the offer has been lodged over the weekend or on a national public holiday (or there is a national public holiday within the first seven days of the exposure period: see RG 254 at paragraph 159).
Can I lodge documents while ASIC’s offices are closed in December?
You may lodge documents through the Regulatory Portal even when our offices are closed in late December and early January each year. However, ASIC Corporations (ASIC Close Down Period) Instrument 2018/1034 may extend (without any further notice from us):
- the time period in which we must register managed investment schemes under s601EB of the Corporations Act 2001 from 14 to 21 days; and
- the exposure periods that apply to disclosure documents offering securities and Product Disclosure Statements under s727 and 1016B of the Corporations Act 2001 from 7 to 14 days.
You should check that instrument and consider its effect in your circumstances, if you lodge:
- an application for registration of a managed investment scheme, from 5 pm on the last business day before 11 December until 9 am on the first business day after 1 January of the next calendar year; or
- a Product Disclosure Statement or a disclosure document offering securities, from 5 pm on the last business day before 18 December until 9 am on the first business day after 1 January of the next calendar year.
Which documents can I lodge through the portal?
The documents listed in the table below can now be lodged through the ASIC Regulatory Portal:
Document name |
Corporations Act provision requiring lodgement |
---|---|
Documents relating to fundraising |
|
Replacement prospectus for equities |
s719 |
Replacement offer information statement |
s719 |
Replacement profile statement |
s719 |
Replacement short form prospectus for equities |
s719 |
Replacement Product Disclosure Statement |
s1014L |
Supplementary statement for equities |
s719 |
Supplementary PDS Statement |
s1015B |
Documents lodged in relation to a short form prospectus |
s712 |
Offer document – Mutual Recognition Scheme |
s1200C(5) |
Supplementary or replacement document – Mutual Recognition Scheme |
s1200G(9) |
Change to offer document – Mutual Recognition Scheme |
s1200G(9) |
Notice of Australian offer under Foreign Recognition Scheme |
s1200C(5) |
Documents relating to schemes of arrangement |
|
Court order re scheme of arrangement |
s411(10) |
Notice of hearing for scheme of arrangement |
s411(2) |
Application for abridgement of time to provide notice of hearing for scheme of arrangement |
s411(2)(a) |
Draft explanatory statement regarding compromise or arrangement |
s411(2)(b) |
Court order facilitating reconstruction |
s413(3) |
Application for para. 411(17)(b) statement of no objection to compromise or arrangement |
s411(17)(b) |
Registration copy of explanatory statement |
s412(6) |
Court Orders for meeting concerning compromise or arrangement |
Court Rules (var.) |
Documents relating to takeovers |
|
Bidder’s statement and offer – off market |
s633(1) – item 2 |
Target’s statement and reports – off market |
s633(1) – item 13 |
Notice of status of defeating condition – off market – unquoted bid class securities |
s630(2), (3), (4) and(5) |
Notice of service of bidder’s statement – off market – s633 Step 4 |
s633(1) – item 4 |
Notice that takeover offers have been sent – off market – s633 Step 9 |
s633(1) – item 9 |
Takeover bidder’s statement and documents sent to ASX – on market |
s635 – item 5 |
Document accompanying bidder’s statement – on market bid – s635 Step 7 |
s635 – item 7 |
Target’s statement and reports – on market – s635 Step 12 |
s635 – item 12 |
Bidder’s supplementary statement |
s647(3)(a) |
Target’s supplementary statement |
s647(3)(a) |
Replacement bidder’s statement – Class Order 13/528 |
s633A(2) and s635A(2) (Class Order 13/528) |
Replacement bidder’s statement marked up – Class Order 13/528 |
s633A(2) and s635A(2) (Class Order 13/528) |
Court order regarding proportional takeover provisions in constitution |
s648G |
Notice of variation in takeover offer – on market |
s649C |
Notice of variation in takeover offer – off market |
s650D |
Notice offers free of defeating condition – off market bid |
s650F |
Notice of record date for determining who is to be sent bidder’s statement |
633(4) |
Notice of disclosure regarding substantial holding in bid period |
s654C(3) |
Notice of objection regarding compulsory acquisition/buy out |
s664E(2) |
List of members objecting to compulsory acquisition/buy out |
s664E(3)(b) |
Documents relating to compulsory acquisition |
|
Notice of compulsory acquisition following takeover bid |
s661B |
Notice of right of buy out to remaining holder of securities following a takeover bid |
s662B |
Notice of right of buy out to holders of convertible securities following a takeover bid |
s663B |
Notice of compulsory acquisition |
s664C(2)(A) |
Notice of right of buy out to holders of convertible securities by 100% holder |
s665B(1)(b) |
Documents and applications relating to meetings (including related party transactions) |
|
Document lodged under item 7 of section 611 |
RG 74 |
Application for extension of time to hold Annual General Meeting |
s250P |
Related party benefits – proposed notice, explanatory statement & accompanying documents |
s218(1) |
Application for reduction of lodgement period under s218(1) |
s218(2) |