ASIC investigations and enforcement

When you become involved in an ASIC investigation, usually by receipt of a notice, early representation becomes paramount. Decisions about how to engage with ASIC can often shape how the matter develops and what options remain open later.

What we advise on

Our firm is experienced in both civil and criminal ASIC investigations in relation to breaches of the Corporations Act 2001 (Cth), the Australian Securities and Investments Commission Act 2001 (Cth) and the National Consumer Credit Protection Act 2009 (Cth). We assist individuals and companies involved in compulsory examinations, notices to produce, civil penalty proceedings, banning and disqualification applications, and related criminal referrals. We help directors, AFSL holders, financial services professionals, and companies that find themselves the subject of regulatory scrutiny or requests for information.

Our approach

The approach is practical and informed by our experience both inside ASIC enforcement teams and representing parties dealing with ASIC. Our Principal's work inside the regulator on investigations and subsequent litigation gives us a unique perspective on navigating the considerable challenges clients face when involved in an ASIC investigation and subsequent litigation.

Who we act for

The firm acts for individuals, including directors and AFSL representatives, and for corporate entities. Where interests diverge between a company and its officers, that conflict is identified early so each party can be properly advised.

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