Road map - fundraising

Offers needing a disclosure document

Reconstructions
RG 41 Limited partnerships fundraising
RG 188 Disclosure in reconstructions
CO 07/10 Technical disclosure relief for reconstructions and capital reductions

Business introduction or matching services
CO 02/273 Business introduction or matching services

Rights issues
RG 189 Disclosure relief for rights issues
CO 07/571 Disclosure exemption for rights issues
CO 08/35 Disclosure relief for rights issues

Securities offerings in New Zealand and Australia: mutual recognition
RG 190 Offering securities in New Zealand and Australia under mutual recognition

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Offers that do not need a disclosure document

RG 151 Fundraising: Discretionary powers

Employee share schemes
RG 49 Employee share schemes
CO 02/314 Employee redundancy funds: relief
CO 03/184 Employee share schemes

Foreign disclosure documents - mutual recognition
RG 72 Foreign securities prospectus relief
RG 163 Takeovers: Minimum bid price principle
CO 00/177 Fundraising exemption: NZ prospectuses
CO 00/178 Foreign securities: publishing of reports and notices
CO 00/179 Foreign securities: publishing of reports and notices
CO 00/180 Foreign securities: publishing of reports and notices
CO 00/181 Foreign securities: publishing of reports and notices
CO 00/183 Foreign rights issue
CO 00/184 Relief to facilitate offer of interests in registered schemes in New Zealand
CO 00/185 Foreign securities
CO 00/214 Foreign securities: listed foreign companies making 20 or fewer offers in Australia in 12 months
CO 05/850 Unsolicited offers under a regulated foreign takeover bid
CO 07/9 Prospectus relief for foreign schemes of arrangement and PDS relief for Pt 5.1 schemes and foreign schemes of arrangement

Continuously quoted securities
CO 00/168 Relief from exposure period: quoted securities
CO 00/843] Options over listed securities: exposure period relief
CO 01/1455 Continuously quoted securities

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On-sale of securities/secondary sales
RG 56 Prospectuses
RG 66 Time-sharing schemes
RG 67 Real estate companies
RG 92 Horse breeding Schemes
RG 129 Business introduction or matching services
RG 140 Serviced strata schemes
RG 173 Disclosure for on-sale of securities and other financial products
RG 188 Disclosure in reconstructions
CO 02/334 Secondary sale of securities: section 707(3) and section 707(4) — variation
CO 04/653 On-sale disclosure relief for scrip bids
CO 04/671 Disclosure for on-sale of securities and other financial products
CO 04/672 Extension of on-sales exemptions

Personal offers
RG 56 Prospectuses
RG 72 Foreign securities prospectus relief
CO 00/237 Twenty issues in 12 months exemption — transitional aspects

Qualified accountant
RG 154 Certificate by a qualified accountant
CO 01/1256 Qualified accountant
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Share purchase plans
RG 125 Small offers of shares to existing shareholders by listed companies – share purchase plans
CO 00/238 Dividend reinvestment plans
CO 02/831 Share purchase plans
CO 02/832 Interest purchase plans
CO 09/425 Share and interest purchase plans

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Disclosure documents and product disclosure statements

See also Financial services: product disclosure
RG 66 Transaction specific disclosure
CP 69

Disclosing pro forma financial information (draft)
RG 159 Takeovers, compulsory acquisitions and substantial holdings
REP 23

A model for fee disclosure in product disclosure statements for investments products—An ASIC report
REP 83

Small and mid-cap miners study

Additional investments
RG 127 Additional investments in managed investment schemes

Applications
RG 23 Updating and correcting prospectuses and application forms
RG 150 Electronic applications and dealer personalised applications
CO 00/44 Electronic disclosure documents, electronic application forms and dealer personalised applications
CO 00/189 Use of original application form with s724(3) documents
CO 00/1092 Application form relief for bonus issues of options
CO 00/173 Debenture prospectuses: incorporation of information on application forms
CO 02/262 Applications to switch managed investment products

Consent to quote
RG 55 Disclosure documents and PDS: consent to quote
CO 07/428 Consent to quote: Citing credit ratings, trading data and geological reports in disclosure documents and PDS

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Research analyst reports
RG 79 Managing conflicts of interest: An ASIC guide for research report providers
REP 24

Research analyst independence
CO 00/193 Experts: citing in disclosure documents

Rights issues
CO 07/571 Disclosure exemption for rights issues

Offer information statements
CO 00/172 Offer information statements: relief in relation to financial statements
RG 157 Financial reports for offer information statements

Profile statements
CO 00/166 Profile statements
CO 00/167 Relief from exposure period: profile statements

Product disclosure statements

See also Financial services: product disclosure statements
RG 55 Disclosure documents and PDS: consent to quote
RG 231 Infrastructure entities: improving disclosure for retail investors
RG 232 Agribusiness managed investment schemes: Improving disclosure for retail investors
REP 272 Response to CP 134 and CP 154 Infrastructure entities: Improving disclosure for retail investors
REP 273 Response to submissions on CP 133 Agribusiness schemes: Improving disclosure for retail investors

Prospective financial information
RG 170 Prospective financial information

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Prospectuses
RG 228 Prospectuses: Effective disclosure for retail investors
RG 23 Updating and correcting prospectuses and application forms
RG 55 Disclosure documents and PDS: consent to quote
RG 56 Prospectuses
RG 69 Debentures and notes: Improving disclosure for retail investors
RG 70 Prospectuses for cash box and investment companies
RG 99 Quotation of securities offered by prospectus
RG 107 Electronic prospectus
RG 127 Additional investments in managed investment schemes
RG 141 Offers of securities on the Internet
RG 150 Electronic applications and dealer personalised applications
RG 155 Debenture prospectus
CO 00/169 Relief from exposure period: Supplementary and replacement prospectuses
CO 00/173 Debenture prospectuses: incorporation of information on application forms
CO 00/174 Debenture prospectuses: updating of interest rate and term information
CO 00/177 Fundraising exemption: NZ prospectuses
CO 07/9 Prospectus relief for foreign schemes of arrangement and PDS relief for Pt 5.1 schemes and foreign schemes of arrangement
CO 09/68 Prospectus and PDS relief for foreign scrip takeovers

Supplementary/replacement documents
RG 23 Updating and correcting prospectuses and application forms
RG 127 Additional investments in managed investment schemes
CO 00/169 Relief from exposure period: Supplementary and replacement prospectuses
CO 00/190 Substituting or consolidating supplementary disclosure documents

Electronic offers
RG 107 Electronic prospectus
RG 141 Offers of securities on the Internet
RG 150 Electronic applications and dealer personalised applications
CO 00/44 Electronic disclosure documents, electronic application forms and dealer personalised applications
CO 02/246 Offers of securities on the internet

Quotation of securities
RG 99 Quotation of securities offered by prospectus
CO 00/168 Relief from exposure period: quoted securities
CO 00/843 Options over listed securities: exposure period relief
CO 00/656 Announcements to securities exchanges about offers by subsidiaries of the listed body
CO 01/1455 Continuously quoted securities

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Hawking and advertising

See also Financial services: hawking and advertising
RG 38 The hawking prohibitions: An ASIC guide
RG 56 Prospectuses
RG 102 Tender offers by vendor shareholders
RG 141 Offers of securities on the internet
RG 156 Debenture advertising
RG 158 Advertising and publicity for offers of securities
REP 22

A review of the research on the past performance of managed funds
REP 38

High-yield debentures—ASIC surveillance report
CO 00/175 Pre-prospectus roadshow presentations
CO 00/176 Pre-prospectus market research
CO 02/641 Hawking — securities and managed investments

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Type of security

Convertible securities
CO 00/195 Offer of convertible securities under s713

Debentures
RG 30 Paperless issues and transfers under a global debenture
RG 63 Access to debenture and prescribed interest registers
RG 69Debentures - improving disclosure for retail investors
RG 87 Charitable investment schemes and school enrolment deposits
RG 155 Debenture prospectuses
RG 156 Debenture advertising
REP 38

High-yield debentures—ASIC surveillance report
CO 00/173 Debenture prospectuses: incorporation of information on application forms
CO 00/174 Debenture prospectuses: updating of interest rate and term information
CO 12/1482 When debentures can be called secured notes

Foreign quoted securities

See Foreign disclosure documents - mutual recognition

Managed investments

See Managed investment schemes
CO 00/240 Treatment of offers of interests in managed investment schemes

Warrants
CO 00/1068 Warrants: fundraising relief
CO 03/957 ASX managed investment warrants — disclosure and reporting exemptions

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ASIC's role

Exposure period
RG 152 Lodgement of disclosure documents
CO 00/168 Relief from exposure period: quoted securities
CO 00/169 Relief from exposure period: Supplementary and replacement prospectuses
CO 00/843 Options over listed securities: exposure period relief

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ASIC Website: Printed 05/17/2012

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