Changes to how you lodge fundraising and corporate finance documents

Early in the new financial year, the way you lodge fundraising and corporate finance documents with us will change.

Subscribe to our mailing list if you would like to be updated about this change.

Key points

  • The ASIC Regulatory Portal will replace the existing submission channels for lodging documents relating to:
    • fundraising disclosure documents or statements
    • takeover documents – target statements and notifications
    • takeover documents – bidder statements and notifications
    • Scheme of Arrangement documents – explanatory statements and court orders
    • compulsory acquisition and buy out notice, and
    • shareholder meeting materials – related party transactions or acquisition approvals.
  • ASIC’s approach to reviewing fundraising and corporate finance documents is not changing.
  • Lodging through the portal will feature structured online transactions with mandatory fields and questions that make it easier for stakeholders to ensure the information ASIC requires is provided upfront. Links to the relevant ASIC regulatory guidance will be included.
  • OFFERlist is also being updated with a cleaner look and feel and faster search. Its name will change to Offer Notice Board.
  • The portal is where ASIC’s regulated community can access a growing suite of regulatory services.
  • Notification requirements for Product Disclosure Statements that are not lodged with ASIC under s1015B of the Corporations Act (Form FS88, FS89 and FS90 PDS-in-use notices) will continue to be made using the existing submission channels.

Benefits of using the portal:

  • Structured online transactions with mandatory fields and questions that make it easier for stakeholders to ensure the information ASIC requires is provided upfront.
  • Track the status of your transactions via your portal account.
  • Correspond with ASIC online about submitted transactions.
  • Fee estimates automatically calculated based on the information provided in the transaction.
  • Online payment options for some transactions and a record of invoice history.
  • Attach supporting documentation.
  • Invite others to act on your behalf in the portal.
  • Restrict access so only select users can see and access your transactions in the portal. 

If you have any questions about this change you can send them to applications.lodgments.feedback@asic.gov.au

What is the ASIC Regulatory Portal?

The ASIC Regulatory Portal will become your central access to ASIC's growing suite of regulatory services, which are being consolidated onto the portal over time.

Can I register on the portal now?

While this change won’t take effect until after the start of the new financial year, you can register for portal access at any time.

Go to the ASIC Regulatory Portal homepage and select the blue 'Register' button.

You can choose the ‘I just want to register’ tile and decide what to do later.

Note that many entities already have portal accounts for breach reporting and their annual industry funding obligations.

For more information on how to register, see our user guide.

When will ASIC tell me more about this change?

ASIC will publish more detail about how to lodge fundraising and corporate finance documents in the coming months.

This will include specific instructions and guidance on how to lodge as:

  • an individual (either you, or on behalf of another individual)
  • a law firm, accounting firm, or corporate advisory, or
  • a company.

If you have any questions about this change you can send them to applications.lodgments.feedback@asic.gov.au

What's new

More releases on fundraising

Last updated: 25/05/2020 09:57