FAQs: Regulatory portal

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Anyone can register for access to the ASIC Regulatory Portal. Registering for the portal creates an individual portal user account.

Register now.

What you can do in the portal (what you can submit, apply or register for etc.) will change over time.

You can check for updates on what you can do on the portal homepage.

Registering for the portal creates your individual portal user account. You only need to register once.

To register for the portal, go to the Registration page and click on one of the tiles describing the ways to register. How you choose to register will depend on who you are and what you want to do first on the portal but they all create an individual portal user account.

Enter your personal details. This includes your name, date of birth, and email address (this will be your username), and mobile number. Depending on how you have chosen to register, this might also include an industry funding security key, a licence or registration number, or entity type.

You will also need to read the ASIC Regulatory Portal: User Agreement, the Privacy Collection Notice for the ASIC Regulatory Portal, and make a declaration about using the portal.

Click ‘Register’.

We will then send you a confirmation email, which will prompt you to create a password.

For more information, see our user guide.

ASIC Regulatory Portal: How to register

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Check your email ‘trash’ or ‘junk’ folder first.

Go to the portal landing page and click the ‘Log in’ button. On the Log in page, in the left-hand panel click the ‘Already registered, but didn't receive your confirmation email?’ link.

This will take you to a screen where you can enter your email and we will resend the confirmation.

In most cases, yes. If you have either a Corporate key or an ASIC key you can still register. On the registration page, select either the 'I want to link to a licence or registration I hold' or the 'I want to act on behalf of a registered company or body' tile. Complete the registration process.

Log in to the portal (see 'How do I log in?') and select the entity you wish to submit business activity metrics for. 

This will take you to the dashboard for that entity. Click 'Start a new transaction'. This will take you to a list of transactions. Select 'Submit industry funding business activity metrics'. This will take you to the landing page for the industry funding business activity metrics form or transactions. Read this information. Click 'Start transaction'.

If you don’t have either a Corporate key or an ASIC key, you will need to request another letter – Contact us.

Only an authorised person, for example a company officeholder (generally a director or secretary), or holder of a licence or registration, can perform initial entity connection in the portal. Once the authorised person has registered for the portal and connected to the entity they can then invite a trusted representative such as a company employee, a compliance officer, a registered agent, or a service provider to connect to their entity and assign them the required user access to view confidential information and perform regulatory tasks on behalf of the entity.

Once invited, the trusted representative will receive an invitation to the portal for the relevant entity and will be able to perform the required duties on behalf of the entity which they represent, including for example, the submission of industry funding business activity metrics.

The authorised person will only ever have to register and assign access to the trusted representative once for their entity.

For more information, see our user guide.

To log in to the portal, you will first need to register a username and password – see 'How do I register?'

If you have already registered for the portal, go to the portal homepage and click on the 'Login' button. Enter your username and password.

For more information, see our user guide.

ASIC Regulatory Portal: How to login

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If you are using a computer that operates on Windows and you use either Internet Explorer or Edge as your internet browser, your Windows system may be out of date.

Please install all of the latest Windows updates and try to log in again. Alternatively, you can install Google Chrome to access the website.

If you are an individual user, a registration or licence holder or the first user to register for an entity, on your first log in, when you select an entity from the 'Select entity' page, we will ask you to provide some further contact details. These are 'Billing contacts' (both email and physical address), 'Official notices contact' email and an 'Industry funding compliance contact' email.

Go to Forgotten your password? and enter your email address.

We will send you a link to reset your password.

Your password must be between 10–24 characters and contain at least:

• 1 number
• 1 uppercase letter
• 1 lowercase letter.

Your password must not contain your name.

For more information see Password management.

Click the circle with your initials in the top right-hand corner of the banner (next to 'Log out'), which will reveal a drop-down menu.

Select 'Account settings'. This will take you to the 'Account settings' tab on your profile page.

Enter your current password, new password and confirm your new password. Click 'Set new password'.

For security reasons, the portal will automatically log you out if:

• you have been inactive on the portal for 30 minutes
• you have been inactive in a transaction for 15 minutes

You will need to log back in to continue using the portal.

You should only update your name if it has changed by marriage or deed poll.

If there is a change of officeholders the new officeholder should register their own portal account and connect to the entity. For more information see our FAQ 'How do I register?'

Click on the circle with your initials in the right-hand corner of the banner (next to 'Log out'), which will reveal a drop-down menu.

Select 'My details'. This will take you to the 'My details' tab on your profile page.

Click on the 'Edit my details' button to edit your name, email address or mobile number.

In order to let your registration information reach our internal systems, we recommend that you wait a minimum of 30 mins before launching your first form or transaction.

Click on the circle with your initials in the right-hand corner of the banner (next to 'Log out'), which will reveal a drop-down menu.

Select 'Account settings'. This will take you to the 'Account settings' tab on your profile page.

At the bottom of the page, click the 'Cancel my account' link.

Note: If you are a Senior administrator for an entity, to cancel your account, you must ensure that for each of your connected entities, at least one more Senior administrator remains, or that there are no other users on the entity.

We will then ask you to confirm that you wish to cancel your account.

MFA is a multi-step account login process that requires users to enter more information than just a password. This adds an extra layer of security during login, helping prevent unauthorised access to your account.

The initial release of MFA will include email authentication only and will be automatically set up for all ASIC Regulatory Portal accounts. Once MFA is enabled, all portal users will need to enter a one-time code that will be sent to their email address (username) everytime you log in.

When you log in, you’ll first enter your username and password.

For your first log in after MFA is enabled you will be prompted to set up Email Authentication by clicking the 'Set up' button. You can then request a one-time code to be sent to your email address by clicking 'Send me the code'. After that, you'll receive an email with a one-time code. You need to enter this code on the log in screen to authenticate your log in.

For each subsequent log in, you will click the 'Send me the code' button to receive the one-time code by email to authenticate your log in.

No, the initial release will send the one-time code to your email address. Future releases are planned where other options may become available. 

Your one-time code will be sent after you click ‘Send me the code’. Please allow time for the email to come through as firewall settings may impact the time it takes for you to receive the email. 

Once you request a one-time code it is valid for 5 minutes.  

Check your spam or junk folder.

Verify that your email address is correct.

If you still haven’t received your one-time code, review your firewall settings, and consult your IT department if necessary.  

To access the ASIC Regulatory Portal, you will require access to the email address you used as your username. If you cannot access the email address you have provided you can contact us to have it changed.  

After entering your email address (username) and password, you’ll see an ‘Email Authentication’ screen appear where you click the ‘Send me the code’ button to send a one-time code to your registered email. Once you receive the email with your code, return to the login screen and enter the code in the text box and click the ‘Authenticate’ button.  

No, the email address (username) used to log in to the portal will be the email addressed link to MFA. You can update your email address in your account settings. For more information see our FAQ ‘How do I update my portal account details?'  

Every time you log into the ASIC Regulatory Portal.  

No, MFA is a mandatory requirement for access to the ASIC Regulatory Portal, you cannot opt-out.

An entity is a way of describing all the different ways through which business can be conducted – it could be an organisation structure like a company, a business, a partnership or a trust, or an individual (or ‘natural person’).

To connect to an entity, you must either have an existing role within or for that entity – for example, as an officeholder of a company (generally as a director or secretary) – or have the someone who has the Senior administrator or Administrator access level within the portal for that entity invite you to connect. If you have an invitation to connect to an entity the invitation will include an invitation key.

Go to the Connect to an entity, licence or registration page and select one of the tiles describing the ways to connect. You will need to enter some identifying information for the entity you wish to connect to – for example, Australian Company Number and confirm your capacity, or an industry funding security key or an invitation key. Once you have entered the required information and we have verified it, click the 'Switch entity' hyperlink in the middle of the banner, which will take you to the 'Select entity' page where you can view the entity and all other entities you have connected to.

Repeat the steps above to connect to multiple entities.

For more information, see our user guide.

ASIC Regulatory Portal: How to connect to an entity

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Click on the circle with your initials in the top right-hand corner of the banner (next to 'Log out'), which will reveal a drop-down menu.

Click 'My entities'. This will direct you to a list of entities to which you are connected.

Click the cog to the left of the entity you wish to disconnect from.

Select 'Disconnect'.

For more information, see our user guide.

ASIC Regulatory Portal: How to disconnect from an entity

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Depending on your circumstances, as a registered portal user you may be acting on behalf of a number of different entities. Each entity will have a ‘dashboard’ displaying that entity's information and its five most recent interactions with ASIC – it is where you can perform tasks for that entity. To switch entities means to switch from performing tasks for one entity and begin performing tasks for another – you will switch from one entity’s dashboard to another entity’s dashboard.

The portal shows you if you are acting on behalf of an entity or acting for yourself in the top middle of the banner.

To switch entities, click on the 'Switch entity' hyperlink in the centre of the banner.

This will take you to the 'Select entity' page. Choose an entity from your list of connections, or you can add another entity by selecting the 'Connect to an entity' button.

For more information, see our user guide.

ASIC Regulatory Portal: How to switch entities

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Click on 'Transactions' in the top navigation bar. This will reveal a drop-down menu. Click on 'Start a new transaction'. This will take you to a list of transactions you can select from.

Once you select a form or transaction, the portal will direct you to a landing page for that form or transaction. The landing page includes instructions and other information you need to complete it. To start entering the form or transaction information, click the 'Launch transaction' button.

Once you launch a form or transaction, the portal will direct you to a 'Transaction settings page' where you will be asked if you want to restrict access to the transaction.

To restrict access to specific users, click 'Yes – restrict access'. This will take you to a set restrictions page, which allows you to select users who can access the transaction.

To allow all users connected to the entity to view the transaction, click 'No – allow access'.

Note: An entity's Senior Administrators cannot be restricted from a transaction.

For more information, see our user guide.

Once you have set the restrictions for a form or transaction, you can add or remove users later. To do this – click 'Transactions' in the top navigation. Select 'View all transactions' from the drop down menu. Select a transaction from the list, click on 'Transaction access restrictions' and then click 'Edit restrictions'.

Most forms or transactions consist of numerous sections and pages. Once you have entered all the required information in each section, reviewed this information and made any required declarations you will be presented with a 'Submit' button. To submit the form click, 'Submit'.

If any information on a form or transaction that ASIC has prefilled from its own or Commonwealth records includes errors, you must first correct the relevant record before proceeding with the form or transaction. This is because as part of all transactions, you must, among other things, declare that the information in the form or transaction is true and correct. Once you have completed the relevant form or process to amend the error on ASIC’s or other Commonwealth records, you will need to start a new form or transaction in the portal. It may take at least 24 hours to update a record once you have submitted the changes.

What you need to do to update your details will vary. Where there isn't specific instruction on the form or transaction, see the following links for more information on updating:

• company details
• business names
• business name details
• Australian financial services licence details
• Australian credit licence details 
• registered liquidator details 
• registered auditor details 

For information on how to update your portal user name or registration details, see How do I change my user name or my other registration details?

If you can’t find the information you need, you can ask us a question online.

Yes. When you have a form or transaction open, Click 'Save & close'. This will save it as a draft. 
To access a draft form or transaction – click 'Transactions' in the top navigation and select 'View all transactions' from the drop down menu.

From the View all transactions page, click on an individual form or transaction. This will take you to a detailed view for that form or transaction. If the status of the form or transaction is Draft and you have the sufficient Access level, you can continue with the form or transaction using the Continue transaction button. This will relaunch your saved form or transaction.

To view the forms or transactions you have drafted or submitted and their statuses, click on 'Transactions' in the top navigation bar. This will reveal a drop-down menu.

Click on 'View all transactions'. This will take you to a list of all forms or transactions for either yourself as an individual or if you are acting for an entity, for that entity. On this screen, if you have sufficient Access level, you will see the title and reference number of any form or transaction, when it was last accessed and who accessed it and its status – draft, submitted, lodged, completed, rejected etc.

Draft – A form or transaction that one or more users is working on and is not yet submitted to ASIC.
Submitted – A form or transaction that a user has submitted to ASIC, which cannot be amended.
In progress – A submitted form or transaction that ASIC has received and is currently assessing.
Rejected – A submitted form or transaction that ASIC has received, assessed and rejected.
Completed – A form or transaction has been accepted as lodged or submitted with ASIC.
Withdrawn – A form or transaction that a user or ASIC has withdrawn. This can only occur before the form or transaction is ‘Completed’.
Cancelled – A form or transaction that a user has created in error and cancelled by ASIC.

Notes:

1. Not all statuses apply to all transactions. At a minimum, all transactions will show Draft and Submitted statuses.
2. For information on transaction group event statuses see ‘What do the different statuses for a transaction group mean?’

Forward navigation is disabled for the following reasons:

• Business rules on questions may reveal subsequent questions that you need to answer in later parts of the transaction
• It avoids validation errors if you attempt to submit the form because pages are validated (checked for completeness) when you click 'Next' at the bottom of the page

If you can't find the country you are looking for in the Country drop-down list when adding an address or place of birth in the portal, scroll to the bottom of the list and select the 'Other' option. You will then be able to type in the country name in the free text box.

From the 'View all transactions' page, click on the form or transaction you wish to delete.

This will take you to a detailed view for that form or transaction. If the status of the transaction is 'Draft' and you have the sufficient Access level you can delete the form or transaction using the 'Delete' button. On the next page, select 'Confirm' to delete transaction or 'Cancel' if you want to go back to the previous page.

If you wish to withdraw a form or transaction, you need to contact ASIC to request we do this for you. If you are in contact with an ASIC officer about your form or transaction you can make your request to them. If not, you can Ask us a question online. In your request, you should include the reason(s) you are requesting the withdrawal (e.g. form or transaction is incomplete or incorrect) and your contact details. An ASIC staff member will then contact with you about your request. We assess each request individually.

If you wish to cancel a form or transaction, you need to contact ASIC to request we do this for you. If you are in contact with an ASIC officer about your form or transaction you can make your request to them. If not, you can Ask us a question online.

Click on Transactions in the top navigation bar. This will reveal a drop-down menu.

Click on View all transactions. This will take you to a list of all forms or transactions for either yourself as an individual or if you are acting for an entity, for that entity.

Click on a form or transaction that has a status other than Draft. This will take you to the transaction summary page. 

Click View original PDF. This will open the form or transaction in PDF format. Print or save a copy of the form or transaction. 

In some instances, you may encounter a message about embedded fonts not displaying correctly. Simply click ‘OK’ to continue. This will not affect your ability to open and read your PDF or any attachments.

ASIC’s antivirus scan software has detected a virus and has automatically deleted the file.

Resave the file in another format and try again.

When you submit a form or transaction, you will receive a confirmation screen (and in some case if you supplied an email address, a confirmation email). Both will contain your reference number for that submission.

The Recent transactions table on your dashboard lists the five forms or applications you have most recently submitted or edited. For a full list, click the View all transactions link beneath the recent list to go to the View all transactions page.

The portal user who launched the transactions has likely restricted access to the transaction. 

When you launch a transaction, you are given the option to restrict the transaction to specific users.  If you choose not to restrict access, all users connected to the entity will have access to the transaction. If you choose to restrict access, users you select to restrict access to will be unable to access the transaction.

Senior administrators have access to all transaction by default; you cannot change this.

If you get a warning on a form or transaction that ASIC has more than one billing contact for you or your entity, you should save and close this transaction and contact ASIC to nominate a single billing account.

No. While some transactions are available to all portal users; access to others depends on what type of entity you are, what entities you are connected to and what licences or registrations you or the entity holds. For example, if you are a registered SMSF auditor and you hold no other licences or registrations, you will see transactions related to your SMSF registration, but you won’t see the 'Apply for registration as an approved SMSF auditor' transaction because you already hold this registration.

If you believe you should have access to a transaction but cannot see it from your list of available transactions, contact us.

Only a user with Senior administrator or Administrator Access level for an entity can invite other users to connect to that entity. See the full list of Access levels before assigning access to make sure you understand the access level you ascribe to the invitee.

To invite a user:

• Make sure you are viewing the entity you want to invite the user to connect to.
• Click on Administration in the top navigation bar.
• Click on the Users tab.
• Click on Invite new user to entity button.
• Enter the invitee's details – name, email address etc. You will also need to declare that you understand the access you are giving the invitee.
• Click Confirm.

This will send the invitee an email, including an invitation key that they can use to register or connect to the entity if they have an existing portal account.

For more information, see our user guide.

ASIC Regulatory Portal: How to invite someone to connect to an entity

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You must have the appropriate Access level to change or disconnect a user.

Make sure you are viewing the entity. Click on Administration in the top navigation bar and select Users from the drop-down menu. This will take you to a list of connected users. Click on the edit cog to the left of each user's name to change their access or disconnect them.

For more information, see our user guide.

ASIC Regulatory Portal: How to change access levels

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You need to have the appropriate access to change another user's access or disconnect them from an entity – see the full list of Access levels.

When you first log in to the portal, we will prompt you to provide billing and compliance contacts for you or your entity. You can update these later in Administration > Entity contacts.

Update on 14/12/2019

We have updated the way we collect an alternative billing contact for industry funding levy invoices:

• Previously, if you opted to provide this contact, you could enter an email address for a non-portal user.
• Now when you opt to provide it, or the next time you update it, you must select a portal user that is connected to you or your entity.
• You will not be able to finalise the update to your contacts until you do this.
• If your preferred alternative billing contact for industry funding levy invoices is not a portal user, you will need to invite them to register for the portal and connect to you or your entity, see the FAQ – How do I invite someone to connect to an entity? In this case, to finalise the update, set the alternative billing contact for industry funding levy invoices to yourself. Once you have invited your preferred contact to connect, you can log back in and set them as your alternative billing contact for industry funding levy invoices.

Messages are correspondence between you (or your entity) and ASIC and vice versa about a transaction (form or application), transaction group or an Official notice.

For more information about sending a message about a transaction, see our user guide.

For more information about sending a message about a notice, see our user guide.

For more information about accessing messages on a transaction or notice, see our user guide.

Generally, you can only send a message about a form or transaction that is in the ‘In-progress’ status – see our FAQ 'What do the different statuses for a form or transaction mean?' under the Forms and transactions heading. However, in some circumstances we may message you about a transaction that is in a status other than 'In progress'.

Also, not all forms or transactions support messaging. To check if your form or transaction supports messaging, from your or your entity’s profile click on Transactions in top navigation bar and select View all transactions. This will take you to the View all transaction page. Click on a form or transaction. This will take you to the page for that individual form or transaction which includes a Summary tab and a Guide tab. If messages are available for a form or transaction, this page will also include a Messages tab.

The message function only becomes enabled for a form or transaction once it is submitted and has a status of  'In Progress'. From that point, it is active for the life of that form or transaction. This means that when the form or transaction status displays as 'Completed', you can no longer receive or send messages about it.

The message function is enabled for an Official notice until the notice status becomes 'Completed'.

You can access transaction messages from a number of places in the portal.

1. When you first log in to the portal, you are taken to on the Select entity page. In the Current connections table on that page, next to each entity you are connected to (which includes yourself) there is a Messages column with an envelope icon. If the envelope icon has a number next to it, this indicates that you have a message for that entity. If you click on the envelope it will take you to the message for that entity.

2. On your Dashboard, click on Messages in the top navigation bar. This will take you to the Messages page for you or the entity you are currently viewing. The Messages page will display messages about both transactions and Official notices.

The left-hand panel displays messages threads (that is, all messages about a single transaction or Notice); the right-hand panel displays the open thread – if you click on a message thread on the left-hand panel it will open in the right-hand panel.

3. You can also access messages about specific submitted transactions directly from the transaction page. From your Dashboard or the Vview all transactions page, click on a submitted transaction. This will open the transaction page, click on the Messages tab.

For more information, see our user guide.

To send a message, you can either go to the transaction page (a submitted transaction) that your message is about or to the Messages page. The example below describes how to create a message from a transaction:

• When logged in, go to the Dashboard for the entity that has submitted the transaction about which you want to send a message. Click on the transaction in the list of Recent transactions.
• This will take you to the individual transaction page. This page has three tabs – Summary, Guide and Messages.
• Click on the Messages tab.
• This will show all the current messages against this transaction. If you would like to start a thread or send a new message, click New message. Type in your message in the space provided.
• To attach any supporting documentation, click Browse and select and attachment. Note: You can add up to 3 attachments (25.0 MB maximum per file). The allowed file types are DOC, DOCX, XLS, XLSX, PPT, PPTX, PDF, CSV, TXT, RTF, GIF, JPG, JPEG, PNG.
• Click Send.

Access to a message thread is determined by the restrictions applied to a specific transaction or notice. To change who can access a message thread, you will need to edit the restrictions that have been applied to the notice or transaction.

For more information, see our user guide.

Select the message thread from the left-hand column. This will load all the messages in the thread in the right-hand column.

To print ALL messages in the thread, click on the ‘Print’ button without opening any messages in the thread.

To print SPECIFIC messages in the thread, click on the messages you wish to print to open the messages. Click on the ‘Print’ button. Only the opened messages will print.

Official notices are official correspondence from ASIC to you (or your entity) – for example, a formal request for information.

Before you receive a notice in the portal you will first receive an email requesting that you agree to receive the notice in that way.

Click on Notices in the top navigation bar. This will take you to the Notices page for you or the entity you are currently viewing.

The Notices page includes an All tab and an Unread tab. The All tab includes a table of all notices you or the entity you are representing has received. The Unread tab includes a table of only those notices that are currently unread.

For more information, see our user guide.

Responding to a notice within the portal:

If you want to, for example, ask a question in writing before you provide the formal response, you can send a message about the notice. See other FAQs on messages about notices.

Otherwise, to formally respond to a notice, from your Dashboard click on Notices in the top navigation bar. This will take you to the Notices page for you or the entity you are currently viewing.
Click on the notice you want to respond to in either the All or Unread tabs. This will open the individual Notice page.

Scroll down and Click on the Formally respond to this notice button. This will launch a Respond to an Official ASIC Notice transaction. Complete the transaction and click Submit.

Alternatively, you can click Save & Close and return to complete the response later.

Note: Your message can only contain up to a maximum of 3000 characters. You can add up to 10 attachments (25.0 MB maximum per file). The allowed file types are DOC, DOCX, XLS, XLSX, PPT, PPTX, PDF, CSV, TXT, RTF, GIF, JPG, JPEG, PNG.

For more information, see our user guide.

Responding to a notice outside of the portal:

If you choose to submit your formal response outside of the portal, please submit your response to the address listed or the contact details provided on the notice.

Note: Once ASIC receives your response, the status of the notice will be updated in the portal accordingly.

You can access messages about notices from a number of places in the portal.

1. When you first log in to the portal, you are taken to the Select entity page. In the Current connections table on that page, next to each entity you are connected to (which includes yourself) there is a Notices column with an exclamation icon. If the exclamation icon has a number next to it, this indicates that you have an unread notice for that entity. If you click on the exclamation it will take you to the page for that unread notice or, if all notices have been read, the Notices page for you or the entity you are currently viewing.

The Notices page includes an All tab and an Unread tab. The All tab includes a table of all notices you or the entity you are representing has received. The Unread tabs includes a table of only those notices that are currently unread.

Clicking on a notice in either tab will take you to the individual notice page. On that page click on the Messages for this notice tab.

2. On your Dashboard, click on Notices in the top navigation bar.
This will take you to the Notices page for you or the entity you are currently viewing.

The Notices page includes an All tab and an Unread tab. The All tab includes a table of all notices you or the entity you are representing has received. The Unread tabs includes a table of only those notices that are currently unread.

Clicking on a Notice in either tab will take you to the individual Notice page. On that page click on the Messages for this notice tab.

3. On your Dashboard, click on Messages in the top navigation bar.
This will take you to the Messages page for you or the entity you are currently viewing. The Messages page will display messages about both forms or transactions and notices.

The left-hand panel displays messages threads (that is, all messages about a single form or transaction or notice); the right-hand panel displays the open thread – if you click on a message thread on the left-hand panel it will open in the right-hand panel. Message threads about a notice are designated by a red band with an exclamation mark icon.

To send a message about a notice, from your Dashboard you can either:
1. Click on Messages in the top navigation bar, which will take you to your Messages page. In the left-hand panel, message threads about a notice are designated by a red band with an exclamation mark icon. Click on the message thread on the left-hand panel to open it in the right-hand panel. In the right-hand panel, click on New message (unless a new message section has already opened). Type in your message in the space provided. To attach any supporting documentation, click Browse. Access to a message thread is determined by the restrictions applied to a specific transaction or notice.

To change who can access a message thread, you will need to edit the restrictions that have been applied to the notice or transaction. Click Send.

2. Click on Notices in the top navigation bar, which will take you to the Notices page for you or the entity you are currently viewing. Click on the notice you wish to send a message about. Click on Send ASIC a message about this notice. Click on New message. Type in your message in the space provided. To attach any supporting documentation, click Browse. Access to a message thread is determined by the restrictions applied to a specific transaction or notice.

To change who can access a message thread, you will need to edit the restrictions that have been applied to the notice or transaction. Click Send.

For more information, see our user guide.

Click on Notices in the top navigation bar. This will take you to the Notices page for you or the entity you are currently viewing.

The Notices page includes an All tab and an Unread tab. The All tab includes a table of all Notices you or the entity you are representing has received. The Unread tab includes a table of only those Notices that are currently unread.

In either of those tabs, the list of Notices includes a Status column.

Response required – The formal response has not yet been submitted to ASIC via the portal.

Response submitted – The formal response has been submitted to ASIC.

Completed – ASIC has determined that no further response is required for the notice.

Withdrawn by ASIC – ASIC has withdrawn the notice. This can only occur before the notice is ‘Completed’.

The envelope icon denotes messages. The exclamation mark icon denotes Notices.

In the top right-hand corner of any screen:

• the number on the envelope icon indicates the total number of all unread messages for you and all the entities you represent.
• the number on the exclamation mark icon indicates the total number of new Notices issued for you and all the entities you represent.

On the Switch entity page, in the Current connections table:

• the number on the envelope icon in the Messages column indicates the total number of unread messages for the entity in that line.
• the number on the exclamation icon in the Notices count column indicates the total number of new Notices issued for the entity in that line.

On the Messages page for an entity, the number shown for each of the message threads in the left-hand panel indicates the number of messages in that thread.

Access to a notice is restricted by default to Senior administrators and the recipient of the notice. Senior administrators and recipients of a notice can grant access to the notice to another portal user.

A transaction group is a container used to hold groups of related transactions.

Currently, transaction groups are used by Australian financial services licensees and Australian credit licensees to submit and manage transactions in relation to reportable situation events.

To create a transaction group:

• Click on ‘Transaction groups’ in the top navigation bar. This will reveal a drop-down menu. Click on ‘View all reportable situation events’. This will take you to the reportable situation events landing page.
• Click on the blue ‘Create reportable situation event’ button. You will then be taken to a page where you must add the title of the reportable situation event.
  Note: The ‘Create reportable situation event’ button will only appear if the entity you are representing holds a current or suspended Australian services licence or Australian credit licence.
• Once you have entered a title, click ‘Next’. You will then need to set the access restrictions for the transaction group. See ‘How do I restrict access to a transaction group?’

To ensure you are able to locate the reportable situation event and its transactions, the title you select must be something meaningful to you or the event – for example, internal reference numbers or other identifiers that will be useful for future searching purposes.

For more information, see How to submit a reportable situation.

Once you create a transaction group and give it a title, the next screen you will see is the ‘Set group restrictions’ page. You will need to decide which users will have access to the group.

To restrict access, click ‘Yes – restrict access’. This will show a list of all connected users, and allows you to select who can access the transaction group.

If you select ‘No – allow access’, all users connected to the entity will be able to access the transaction group, including the transactions and messages in relation to the group.

You can also restrict access after the transaction group has been created. To do this, from the reportable situation event landing page open the transaction group, click on the down arrow to the right of ‘Group access restrictions’ and then click on the button ‘Edit restrictions’.

For more information, see our user guide.

You must first create a transaction group, see ‘How to I create a transaction group?’

Once you have created a transaction group click on the button to launch the transaction for the group – for example, click on the ‘Submit/update reportable situation by licensee’ button to access the transaction landing page and launch the transaction.

Once you complete and submit the transaction, you will be returned to the ‘View all reportable situation events’ page and will now see the transaction in the ‘Transactions for this reportable situation event’ tab when you click on the hyperlink of the transaction group title.

For more information, see How to submit a reportable situation.

Draft – No transactions have been submitted yet for the reportable situation event.

Investigation incomplete – Your responses in the latest transaction submitted for the reportable situation event indicate that your investigation is not yet complete. You will need to notify ASIC once the investigation is complete by submitting an update transaction for that reportable situation event.

Note: you should submit updates on this reportable situation event when there are material changes – for example, providing updates to estimates reported in previous submissions and providing updates where additional instances of similar or related reportable situations have arisen from the same root cause.

Remediation and rectification incomplete – Your responses in the latest transaction submitted for the reportable situation event indicate that you are compensating or intend to compensate clients who have suffered a financial loss because of the reportable situation and you are either:

• rectifying the breach or intend to rectify the breach; or
• taking measures or intend to take measures to address your inability to comply with the core obligation.

You will need to notify ASIC once the remediation and/or rectification is complete by submitting an update transaction for that reportable situation event.

Remediation incomplete – Your responses in the latest transaction submitted for the reportable situation event indicate that you are compensating or intend to compensate clients who have suffered a financial loss because of the reportable situation. You will need to notify ASIC once the remediation is complete by submitting an update transaction for that reportable situation event.

Rectification incomplete – Your responses in the latest transaction submitted for the reportable situation event indicate you are either:

• rectifying the breach or intend to rectify the breach; or
• taking measures or intend to take measures to address your inability to comply with the core obligation.

You will need to notify ASIC once the rectification is complete by submitting an update transaction for that reportable situation event.

Complete – We do not need you to submit any further transactions about the reportable situation event. You therefore cannot launch a new transaction for the event. If the event status is not ‘Complete’ after you have submitted the first transaction for a reportable situation event, we expect you to submit one or more update transactions for that event over time until the event status changes to ‘Complete’. See ‘How do I add a transaction to a transaction group?’

From the ‘View all reportable situation events’ page, click on the title of the transaction group you wish to delete. This will take you to a detailed view for that transaction group. If the event status of the group and the status of all transactions within the group (if any have been added to the group) are in ‘Draft’, you can delete the transaction group by clicking on the ‘Delete this event’ button. On the next page, select 'Confirm' to delete transaction group or 'Cancel' if you want to go back to the previous page.

Note: If the event status of the group and the status of any transactions within the group (if any have been added to the group) are anything other than ‘Draft’, the 'Delete this event' button will not be visible and you cannot delete the event.

To send ASIC a message about a transaction in a transaction group, the transaction must have the status of ‘In-progress’.

• Select the reportable situation event
• Click on the ‘Transactions for this reportable situation event’ tab
• Click on the transaction name
• Click on the ‘Messages’ tab

To start a thread or send a new message, click ‘New message’. Type in your message in the space provided. Click ‘Send’.

To attach any supporting documentation, click ‘Browse’ and select an attachment.

Note: You can add up to 3 attachments (25.0 MB maximum per file). The allowed file types are DOC, DOCX, XLS, XLSX, PPT, PPTX, PDF, CSV, TXT, RTF, GIF, JPG, JPEG, PNG.

To send ASIC a message about a transaction group:

• Select the reportable situation event.
• Click on the ‘Messages for this reportable situation event’ tab.

If there is a message on a transaction in the group it will appear under this tab.
To start a thread or send a new message, click ‘New message’. Type in your message in the space provided. Click ‘Send’.

To attach any supporting documentation, click ‘Browse’ and select an attachment.

Note: You can add up to 3 attachments (25.0 MB maximum per file). The allowed file types are DOC, DOCX, XLS, XLSX, PPT, PPTX, PDF, CSV, TXT, RTF, GIF, JPG, JPEG, PNG.

If there are no messages, you will see ‘There is no data to display’.

To search for a specific transaction group you have created:

• Enter a search term in at least one field in the search tool on the reportable situation event landing page – for example, title, group ID or initial transaction number fields.
• Click 'Search'

To change the title of a transaction group, from the reportable situation event landing page select the transaction group hyperlink of the transaction group you wish to update. Click on the small edit icon to the right of the title. You will then be taken to the ‘Rename reportable situation event’ page. Type the new name and then click ‘Save’.

Click on Dashboard in the top navigation bar. This will take you to the Dashboard page where you will find the five most recent invoices and reminder notices. For all invoices, click the View all notices and reminder notices link to go to the Billing page.

Alternatively, to view all invoices, click Administration in the top navigation bar. This will reveal a drop-down menu. Select Billing, which will take you to a billing page where you can select to view all industry funding invoices or other invoices.

For more information, see our user guide.

There are two types of invoices available in the portal – industry funding invoices and other invoices.

Industry funding invoices – regulated entities with industry funding obligations will receive an invoice with the amount owing in relation to the entity’s share of the regulatory costs for the sector in which they operate.

Other invoices – other forms and transactions, such as licence applications, may incur a fee. We will issue an invoice if you do not make the payment at the time of submitting the form or transaction.

We will provide you with a reminder notice seven days before your invoice is due, outlining the amount payable. 

You can find reminder notices in the portal, in the same location where you will find your invoices. See Where can I find my invoice?

For industry funding invoices and reminder notices, we will send an email to the nominated billing contact and industry funding compliance contact. We will also send an email to the alternative industry funding billing contact if you have provided one.

For other invoices and reminder notices, we will send an email to the nominated billing contact for the entity. We will also send an email to the alternative billing contact if you have provided one.

To view or edit the entity billing contacts, click Administration in the top navigation bar. This will reveal a drop-down menu. Select Entity contacts. This will take you to the Entity contacts tab.  

Click Edit.

The following payment options are available:

Credit / debit card

We accept Visa or MasterCard. Payments can made online via the portal.
Note - this option is only available if you received your invoice via the portal. If you received your invoice by post, you will need to use another payment method listed below.

BPAY

Ensure you provide the correct biller code and customer reference number – these will differ for industry funding and other payments. Please allow three business days for electronic processing.

Electronic Funds Transfer

You can make an electronic funds transfer into ASIC’s nominated bank account. Ensure you use the ASIC payment reference provided to you so we can identify your payment.

Yes. You can make payments online via the portal using Government EasyPay if you recevied your invoice through the portal. We accept Visa or MasterCard.

To make a payment online for an amount shown on an invoice – click 'Administration' in the top navigation bar. This will reveal a drop-down menu. Click on 'Billing', then select the type of invoice you wish to pay. Click 'Make a payment now'.

For more information, see our user guides.

If you received your invoice by post, you will need to use an alternative payment method listed on your invoice. See 'What are the payment options?' for further information about alternative payment methods.

When you make a payment online via the portal using a credit/debit card, your payment will be processed by Government EasyPay.

This secure payment service is provided by the Reserve Bank of Australia. 

A breakdown of your account information is available in the Transactions section located on your invoice. This will include your current account balance at the time the invoice was issued and highlight any amount owing at that time. If you have made a payment after the invoice was issued, the payment will be shown on your next invoice.

Account balances are not displayed in the portal.

No. When you make a payment your oldest owing transaction is automatically paid off first.

When you make a payment online, EasyPay will display the receipt number on the payment success screen.

Enter a valid email address on the payment success screen and select Send Receipt. We will email a payment receipt to your nominated email address. 

Payment receipts are unable to be reissued via the portal at a later date.

The detailed methodology for how we calculate levies is outlined in the ASIC cost recovery regulations.

For more information, see our industry funding page.

Invoices have varying due dates. Please refer to your invoice for the outstanding amount and when payment is due.

Applicable to industry funding levies only. In some cases, we can arrange a payment plan allowing you to make industry funding payments in instalments.

For more information, see our industry funding page.

Most changes (e.g. change of address) need to be lodged with us in a set timeframe. You will also need to pay some payments within a set timeframe. If you lodge or have an outstanding payment after this time, we may charge a late fee.

Penalties relate to industry funding obligations. Penalties may apply if someone has not submitted business activity metrics without a ‘reasonable excuse’. They are also applicable to late payment of industry funding invoices.

For more information, see our penalities page.

If you’ve accidently overpaid, or in some cases if we have rejected an application, you can request a refund.

How you request a refund will depend on how you made your initial payment. Generally, we'll provide a refund in the same way you made payment (e.g. if you paid using credit card, we'll refund the amount to the credit card).

For more information, see our refunds page.

Find out what information you need to provide for a missing payment search.

We do not have the power to waive annual review fees, document lodgement fees, or other fees the Australian Government levies. In some cases, we can waive late fees.

We will only consider waiving a late fee when there were issues beyond the control of all representatives of the entity.

For more information, see our fee waivers page.

Levy waivers are applicable to industry funding levies only. We will only consider waiving a levy in exceptional circumstances, generally when there were issues beyond the control of all representatives of the entity.  

For more information, see our industry funding page.

Levy waivers are applicable to industry funding levies only. Entities with industry funding obligations can complete a levy waiver application via the portal.

To start the application, click on Transactions in the top navigation bar. This will reveal a drop-down menu. Click on Start a new transaction. This will take you to a list of transactions you can select from. Click Apply for a levy and/or penalty waiver.

Applicable to industry funding levies only. Entities with industry funding obligations can complete a payment plan application via the portal.

To start the application, click on Transactions in the top navigation bar. This will reveal a drop-down menu. Click on Start a new transaction. This will take you to a list of transactions you can select from. Click Apply for a payment plan.

Penalties relate to industry funding obligations. Entities with industry funding obligations can complete a penalty waiver application via the portal.

To start the application, click on Transactions in the top navigation bar. This will reveal a drop-down menu. Click on Start a new transaction. This will take you to a list of transactions you can select from. Click Apply for a levy and/or penalty waiver.

At this stage, only SMSF auditors, Australian passport fund operators and notified foreign passport fund operators can change or update the details of their registration on the portal.

For all other licences and registrations, changing or editing any of the information you can view and access on the portal will not update ASIC’s registers. For example, if you want to change the registered address of your company, you will need to lodge a form to do so on the Companies portal.

More information about industry funding.

More information about self-managed superannuation fund auditors.

More information about the Asia Region Funds Passport.