ASIC Negotiations, Investigations & Disputes

The Australian Securities and Investments Commission (ASIC) operates to regulate the highly complex and ever-changing Australian corporate, investment and financial marketplace. An experienced adviser can help you to navigate your engagement with the regulator, and build an effective constructive relationship, avoiding regulatory criticism where possible.

If you or your company is the subject of regulatory action or a request to provide information to ASIC, you need a comprehensive and fully informed action plan for responding. An understanding of the regulator's powers, approach, focus and objectives, built on experience, will help you formulate that plan.

Our team is experienced in managing both negotiations and investigations with ASIC, as a trusted confidante to our clients and a respected participant in the process by the regulator. If your company is setting up, bringing a new financial product on line or otherwise operating in the areas regulated by ASIC, you will need to be fully cognisant of ASIC's requirements and you may be assisted by engaging directly upfront with ASIC.

This is why individuals and corporations turn to HDY for the right advice and guidance throughout their engagement with ASIC. Whether you are an individual director or representing your company, we can guide you through your ASIC interaction.

How we can help

HDY’s experience working with ASIC has helped our clients navigate both negotiations with the regulator and investigations conducted by them. Our focus in these situations is to:

  1. Minimise the disruption on our clients’ day-to-day operations so they can get on with business
  2. Minimise the reputational risk and “PR fallout” for the company and key individuals
  3. Come to a resolution with the regulator that is practical for both parties
  4. Avoid action in Court wherever possible.

Investigations

We work with our individual and company clients when they:

  • Have identified an issue that may be reportable to ASIC. We work closely with our clients to ensure appropriate action is taken while protecting our client’s interests
  • Are identified as a source of information in relation to an ASIC investigation. We ensure our clients are fully prepared to provide such assistance as is required by the regulator, with minimal disruption to their day-to-day operations
  • Are subject to an ASIC investigation. We advise our clients on the scope of the investigation, anticipate the direction the regulator will take, help them to identify and implement practical responses immediately, and assist our clients to respond to ASIC’s requests, which may include attending a formal interview process or the provision of documentary evidence. Ultimately, we assist our clients to minimise the impact of an investigation.

Engagement with ASIC

There are many situations where it is appropriate to seek advice and to consult with ASIC to ensure you take action appropriate for your business and your stakeholders.

Whether you’re looking to enter the Australian marketplace and need assistance with licensing and exemptions, or you need advice on establishing, structuring and distributing financial products in Australia, our team has the expertise to work either formally or informally with you and ASIC to ensure the best outcome and reduce the risk of problems down the track.

Nikki Bentley

I understand the financial services industry and thrive on helping our clients in this industry succeed.

Kathy Merrick

Having the trust of my clients means we work together to achieve the best outcome.

Meet some of our team