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Investigations & Enforcement Proceedings.

Home Services Regulatory Investigations & Enforcement Proceedings

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?

ASIC has knocked on your door. Or asked you to provide information about your business. Will ASIC investigate you? How bad is it? What else should you be looking for? 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

ASIC has wide ranging and extensive powers and a battery of weapons in its arsenal.

The best outcome is a no action letter. If the problem is widespread, you might have to agree to a condition on your licence or offer an enforceable undertaking. Worst case scenario – you could be banned or have your licence suspended or removed.

The Fold understands ASIC’s approach and powers. Using our skills and knowledge to help develop a considered strategy for dealing with compliance breaches and regulator enquiries can save you substantial time and trouble.

Or, if the condition has already been imposed, we can either act as Compliance Consultant to support you with your remediation or provide an Experts Report.

We won’t pretend this work comes cheap. But neither does going out of business.


I just wanted to express our gratitude for your assistance [in dealing with] ASIC. It is very much appreciated. I feel at long last we are seeing light at the end of the tunnel and getting very close to closure. Thank you.


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