You’ve discovered something that might be a significant breach. Should you report it? Or wait until you fix it? What information do you need to provide?

Maybe ASIC has knocked on your door. Or asked you to provide information about your business. Have they sent you documents you are nervous about? Will ASIC investigate you? How bad is it? What else should you be looking for? Will they cancel your licence? Will they shut you down?

Take a deep breath. Don’t panic!


  • Breach Notifications
  • ASIC Production Notices
  • Negotiating Licence Conditions and Enforceable Undertakings
  • Defending ASIC proceedings
  • Appointed as Compliance Consultant
  • ASIC Experts Reports


The Fold's frank take on issues affecting the financial services industry.

It’s a good time to consolidate and protect your advice business.

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A look at why it is important to be on top of PPSR registrations and how to use them effectively.

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To inform authorised representative of tips and traps in negotiating and entering AR agreements.

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