ASIC investigations and hearings

ASIC has broad powers to conduct surveillance and undertake investigations where they believe there may have been a breach of the law or where they have received a complaint.

We can:

• assist you understand your legal rights when you receive a notice from ASIC
• assist you respond to ASIC notices such as notices to produce books under section 30 of the ASIC Act
• represent you at ASIC examinations being conducted under section 19 of the ASIC Act
• assist you negotiate enforceable undertakings with ASIC, and
• undertake independent compliance reviews and assist with breach reporting.