This is Information Sheet 107 (INFO 107). It describes the guidelines that are in place to ensure that complaints about the conduct of ASIC staff members in connection with our regulatory, investigative and enforcement work are investigated promptly and fairly. It also outlines the guidelines in place to ensure that ASIC staff members maintain high professional standards of behaviour and conduct when undertaking their duties.
Complaints not covered under this guideline
To make a report or tip-off about misconduct by a company or person (not ASIC), please go to our Reporting misconduct to ASIC webpage. More information about how ASIC deals with reports of misconduct is outlined in Information Sheet 153 How ASIC deals with reports of misconduct (INFO 153).
If you have a complaint about ASIC late lodgement penalties and fees you should follow the procedures outlined on our Forms and fees webpage.
Further information on making a complaint can be found at the Complaints about ASIC webpage.
What governs the conduct of ASIC staff members?
ASIC staff members are bound by the standard of conduct set out in the ASIC Code of Conduct. In addition, ASIC staff members are bound by various state and federal statutes concerning privacy, confidentiality and criminal conduct.
What is a conduct complaint?
A conduct complaint is an allegation of unacceptable conduct made against an ASIC staff member. ASIC may determine that a complaint does not involve misconduct if it relates to an ASIC officer conveying a decision or position formed in the normal course of ASIC business that a person may disagree with, that does not involve misconduct.
All conduct complaints are recorded, acknowledged, assessed, and where there are reasonable grounds, appropriately investigated.
How to make a conduct complaint?
ASIC assesses all verbal and written complaints received, but we encourage complainants to send their complaints in writing, including the name of the ASIC staff member involved and details of the conduct.
There are three ways to send a written conduct complaint to us:
- via online form at: Submit a complaint about ASIC
- by mail, addressed to:
Professional Standards & Integrity
Australian Securities and Investments Commission
GPO Box 9827
Melbourne VIC 3001
- or by email to: Professional.Standards.Unit@asic.gov.au.
ASIC will acknowledge receipt of complaints in writing within three working days. After acknowledgement, complaints will be resolved as soon as reasonably practicable, but some may take time depending on the nature of the complaint.
How are complaints managed by ASIC?
Depending on the nature of the complaint, ASIC may choose to allocate the complaint to a relevant senior manager, the Professional Standards & Integrity Unit or an external investigator to investigate.
Our complaint investigations are conducted in a fair and objective manner with the purpose of establishing the facts and will usually be confidential.
We will generally advise the complainant in writing of how the complaint was resolved. Where a conduct complaint relates to another investigation or claim (for example, under Act of Grace, the Public Interest Disclosure regime or a legal claim against ASIC or an individual), it may be appropriate for the matter to be considered in the course of that other investigation or claim, or ASIC may place the conduct complaint on hold pending the resolution of the other matter, or otherwise not pursue the complaint further.
Any disclosure of information required for the investigation to proceed will be on a confidential basis. Generally, investigations will be conducted using ASIC resources. However, when there is reasonable cause to suspect that an ASIC staff member may have committed offences under either state or federal law, it may be more appropriate to refer the matter to the Australian Federal Police or the relevant state police.
Your privacy
Information provided to us in a complaint may contain personal information. We would usually disclose the details of the complaint to any of our staff who are the subject of the complaint. This information may include your name. If you do not want the information contained in your complaint disclosed, you should inform us of this preference.
If you ask us not to reveal your name or the information you have provided, we may be unable to fully investigate your complaint because we cannot give our staff sufficient information to be able to respond to the complaint.
Please refer to our Privacy policy for information about how we handle your personal information, your rights to seek access to and correct personal information, and how to complain about breaches of your privacy.
Where can I get more information?
- Read the ASIC Code of Conduct
- Call ASIC on 1300 300 630
- Refer to our top call centre questions
Important notice
Please note that this information sheet is a summary giving you basic information about a particular topic. It does not cover the whole of the relevant law regarding that topic, and it is not a substitute for professional advice. We encourage you to seek your own professional advice to find out how the applicable laws apply to you, as it is your responsibility to determine your obligations.
You should also note that because this information sheet avoids legal language wherever possible, it might include some generalisations about the application of the law. Some provisions of the law referred to have exceptions or important qualifications. In most cases, your particular circumstances must be taken into account when determining how the law applies to you.
Information sheets provide concise guidance on a specific process or compliance issue or an overview of detailed guidance.
This information sheet was reissued in July 2026.