ASIC and ASX inquiries and investigations

The Australian Securities and Investments Commission (“ASIC”) and the Australian Stock Exchange (“ASX”) regulate the Australian company and stock market environment.

ASIC and the ASX have wide ranging powers to maintain and regulate the integrity of Australian corporations and the stock market, including enforcing various Commonwealth legislations such as the Corporations Act 2001 (Cth) and the Australian Securities and Investments Commission Act 2001 (Cth).  Pursuant to such legislation they have broad investigative powers, including compelling companies to respond to inquiries and directors to attend public and private examinations.

Rowe Bristol Lawyers has a high level of experience in advising and representing clients with respect to ASIC and ASX inquiries and investigations, including:

  • providing advice to corporate and individual clients with respect to the regulatory powers of ASIC and the ASX;
  • liaising with ASIC and the ASX in relation to requirements from companies and directors;
  • assisting and representing clients at public and private examinations within the legal framework created the relevant legislation; and
  • objecting to or appealing decisions of ASIC or the ASX to the extent possible in light of the relevant legislation; and
  • representing clients in defence of proceedings commenced by ASIC or ASX (if applicable).

If you require legal advice in relation to an ASIC and/ or ASX inquiry and/or investigation, please contact us to arrange a meeting so that we may consider your specific circumstances.

The above information is provided as general information only and should not be relied upon as legal advice.  The accuracy of this information may have changed from the date when it was published.