ASIC

APRA

ACCC

Create, Operate & Wind up or Deregister a Company

Records that must be Retained & Lodged

Licenses & Registration of Financial service businesses, Auditors & Liquidators.

ASIC Registers: To determine:

Identity & Status of company

Names of directors & Major Shareholders & if Registered charges over company assets.

People banned or disqualified from providing Financial services, Auditors & Liquidators & Managing a company

All disclosure documents for Securities (Prospectuses, Statements & Profile Statements).

Apply for grants & exemptions for individual applicants, or classes of people or entities.

For Non-Compliance of Regulations & Breaches of Law & Non-Disclosure Monitored by ASIC.

Inspections by ASIC of companies in relation to possible Insolvent Trading.

Alleged Misconduct by Company Directors or Officers, Auditors or liquidators

False, Incorrect or Late release of Company Information to the market

Insolvent trading by a company

Misconduct in takeovers, company restructures or fundraising

Inappropriate Financial Advice

Misleading or Deceptive & Unconscionable Conduct in relation to

Financial Products or Services Financial Scams & Illegal Investment Schemes.

Criminal prosecution through the Commonwealth Director of Public Prosecutions (DPP), Civil Penalties & Administrative action.

Unfair Market Practices

Industry Codes

Mergers & Acquisitions

Product safety

Product labeling

Price monitoring

Unconscionable conduct in commercial and consumer transactions

Conditions & Warranties

Misleading & Deceptive Conduct

Liability of Manufacturers & Importers for Defective Goods

Criminal Conduct in Fair Trading & Consumer Protection Authorisations & Notifications

Inform Businesses about their Rights & Obligations created by the Act

Litigation commenced by ACCC

Notice of proceedings

Formal Demands Prior to Commencement of Proceedings

Proceedings against Individuals & Businesses.

Declarations that Company or Individual Contravened Act

Respondents publishing Public Notices about their Conduct and Corrective Advertising

Injunctions Restraining Current or Future Conduct

Performance of Community Service

Place Respondents on Probation.

Sanctions against Company Directors & Officers of Company - Disqualification /Prohibition on Indemnity for Financial Liability and Legal Costs)

Criminal penalties

Registration & Authorisation

Prudential Standards and Guidance Notes for:

Banks, Credit Unions & Building Societies

General Insurance & Reinsurance Companies

Life Insurance

Friendly Societies

Superannuation Funds

Breaches of the laws & Regulations by APRA members