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About the enforceable undertakings register

This information sheet explains enforceable undertakings. It includes information about:
The enforceable undertakings register lists enforceable undertakings accepted by ASIC under either ss93AA or 93A of the Australian Securities and Investments Commission Act 2001. For our policy on enforceable undertakings see Regulatory Guide 100, Enforceable undertakings.

What are enforceable undertakings?

Enforceable undertakings are undertakings given to us (and accepted by us) which are enforceable in a court. They are generally accepted by us as an alternative to civil or administrative action where there has been a contravention of the legislation we administer.

We may accept an undertaking either:
For information about when ASIC will accept enforceable undertakings see Regulatory Guide 100, Enforceable undertakings.

Section 93AA refers to undertakings given by a company or individual. Section 93A, on the other hand, refers to responsible entities of a registered scheme.

How can I get a copy of an enforceable undertaking?

Enforceable undertakings are made public through the enforceable undertakings register and are free of charge. You can get a copy by downloading it as a PDF file from the register on this website.

What information can I get from the enforceable undertakings register?

The register gives you:
You can get some background on the undertaking by from the relevant media release.

Search the enforceable undertakings register now

Enforceable undertakings templates

ASIC has published four enforceable undertaking templates to assist people drafting undertakings. These templates are for guidance only, as the terms of an enforceable undertaking should always be tailored to fit the circumstances of the individual case.

Download the Enforceable undertakings templates

This is Information Sheet 28 (INFO 28). Information sheets provide concise guidance on a specific process or compliance issue or an overview of detailed guidance.

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