ASIC Investigations

The Australian Securities and Investment Commission (ASIC) is the government regulator for companies and businesses within Australia.

ASIC has far reaching investigative powers, which are frequently implemented by issuing a notice under section 19 of the Australian Securities and Investment Commission Act, requiring a person to provide ASIC with information, documents and participate in a compulsory examination. ASIC can issue a section 19 notice if, on reasonable grounds, it suspects or believes that a person can give information which is relevant to a matter that ASIC is investigating. If you are served with a notice issued by ASIC, you must cooperate reasonably, as failure to do so may be a criminal offence.

It is important that you know what you are required to do (and also what you are not required to do) when responding to a notice issued by ASIC. Our team of commercial litigation lawyers in Brisbane and on the Gold Coast frequently appear with and advocate for clients at compulsory examinations. We advise our clients in relation to the scope of the examination, the documents to be supplied and we can attend the examination with you. We provide comfort and certainty through our expert legal advice.

Our litigators also act for clients who have been prosecuted by ASIC (and other regulatory bodies) for criminal offences which are corporate or commercial in nature, including fraud or other dishonesty offences. If you have any concerns in relation to a potential, or actual, investigation by ASIC, our team are well placed to provide you with direct and honest advice to give you certainty and a strategy as to how to address these matters.