Have you been charged with ASIC offences?
We can help you.
If you have been charged with ASIC offences (Australian Securities and Investments Commission), we are criminal lawyers who can help you.
To defend a case against ASIC requires a thorough understanding of their processes. ASIC have complex investigatory and coercive powers.
- Has there been a compulsory (section 19) interview?
- Did you claim your privilege in that interview?
- Are ASIC misunderstanding the facts of the case?
- Can I stop them prosecuting the charges?
ASIC notices & letters
Illustrative examples showing the structure and content of common ASIC notices. All names, entities, and reference numbers are entirely fictitious.
Example 1
Section 19 compulsory examination notice
Issued under s.19 of the ASIC Act, this notice requires a named individual to attend a private, recorded examination and answer questions under oath. It is one of ASIC's most powerful investigative tools.
Illustrative example only — not a real ASIC document
The notice below is a fictional example created to illustrate the general structure and content of an ASIC Section 19 compulsory examination notice. All names, reference numbers, entities, and individuals shown are entirely fictitious. This example is provided for educational and informational purposes only and does not constitute legal advice. The precise wording, format, and requirements of an actual ASIC notice may differ. If you have received a notice from ASIC, contact us immediately for independent legal advice on (03) 9670 5111.
Australian Securities and Investments Commission
Level 5, 100 Market Street, Sydney NSW 2000 | GPO Box 9827, Sydney NSW 2001
ABN 26 072 977 235
SEAL
Mr James Thornton
Chief Financial Officer
Meridian Capital Partners Pty Ltd
Suite 1402, 1 Bligh Street
Sydney NSW 2000
Dear Mr Thornton,
I am writing to you on behalf of the Australian Securities and Investments Commission (ASIC) in relation to an investigation being conducted under the Australian Securities and Investments Commission Act 2001 (Cth) (the ASIC Act) and the Corporations Act 2001 (Cth).
Pursuant to section 19(2) of the ASIC Act, you are hereby required to appear before an ASIC examiner to answer questions under oath or affirmation in relation to the affairs of Meridian Capital Partners Pty Ltd (ACN 123 456 789) and related entities.
Examination details
| Date | Wednesday, 21 May 2025 |
| Time | 9:30 am (AEST) |
| Location | ASIC offices, Level 5, 100 Market Street, Sydney NSW 2000 |
| Examiner | Senior Investigator M. Chen, ASIC Enforcement |
The examination will be recorded and conducted in private. The examination may cover matters including, but not limited to, trading activity in the securities of Hartwell Resources Ltd (ASX: HWL) during the period 1 January 2024 to 31 March 2025, and related communications and financial transactions.
Your rights and obligations
You should be aware of the following:
- You are entitled to be represented by a lawyer at the examination.
- You are entitled to receive a copy of the transcript of the examination upon request.
- You may claim privilege against self-incrimination or legal professional privilege before answering specific questions.
- Failure to comply with this notice without reasonable excuse is an offence under section 63 of the ASIC Act and may result in prosecution.
We strongly recommend that you seek independent legal advice prior to the examination date. If you have any questions regarding this notice, please contact the undersigned officer on the details below.
Yours sincerely,
Sarah Nguyen
Senior Investigator, Enforcement
Australian Securities and Investments Commission
sarah.nguyen@asic.gov.au | (02) 9911 2XXX
Example 2
Public warning notice
Issued under s.12GLC of the ASIC Act, public warning notices are published on ASIC's website to alert consumers about unlicensed operators or misleading financial conduct. They are shorter and more direct in tone than investigative notices.
Illustrative example only — not a real ASIC document
The notice below is a fictional example created to illustrate the general structure and content of an ASIC public warning notice. All names, entities, reference numbers, and details are entirely fictitious. This example is provided for educational and informational purposes only and does not constitute legal advice. Actual ASIC public warning notices may differ in format and wording. If you have received an ASIC notice or believe you have been targeted by an unlicensed financial operator, contact us for independent legal advice on (03) 9670 5111.
Australian Securities and Investments Commission
Public warning notice
ASIC is warning consumers and investors not to deal with FastYield Capital or any person claiming to act on its behalf.
About this notice
ASIC has reasonable grounds to believe that FastYield Capital (also operating as "FY Capital Global") has engaged in conduct that is misleading or deceptive, or is likely to mislead or deceive, in connection with financial services or products.
Who is affected
This warning is directed at members of the public, including retail investors, who may have been contacted by FastYield Capital or its representatives offering investment opportunities, managed funds, or high-yield savings products.
ASIC's concerns
- FastYield Capital does not hold an Australian Financial Services (AFS) licence and is not authorised to provide financial advice or deal in financial products in Australia.
- FastYield Capital has solicited funds from Australian residents by falsely claiming to be a licensed and regulated investment firm.
- The entity is not registered with ASIC and does not appear on ASIC's professional registers.
- ASIC has received multiple complaints from consumers who have been unable to withdraw funds or obtain refunds.
What you should do
- Do not transfer money to FastYield Capital or any associated persons or accounts.
- If you have already invested, do not make further payments, including so-called "release fees" or "tax clearance fees".
- Always verify that any financial service provider holds a current Australian Financial Services (AFS) licence before investing.
- If you have dealt with this entity or received a similar notice, contact us immediately for independent legal advice on (03) 9670 5111.
Known entity details
| Entity name | FastYield Capital / FY Capital Global |
| Website | www.fastyieldcapital.com (do not visit) |
| Contact email | support@fastyieldcapital.com |
| ASIC registered? | No |
| AFS licence held? | No |
ASIC maintains a public warning notice register listing all entities subject to such notices. This notice may be updated or withdrawn if circumstances change. ASIC does not guarantee that the information in this notice is complete or current.
Please call Doogue + George to discuss your matter with experienced criminal lawyers who deal with ASIC offences and prosecutions. You should have a clear strategy as to how you are defending ASIC charges.
Please read on for information about ASIC charges and further information about ASIC offences, investigations and interviews.
ASIC charges
- Consequences of Failing to Comply with Section 260A
- Corporate Criminal Responsibility for Offence Against Section 254
- Directors Must Give Information to Company
- Failure of Directors to Call General Meeting
- False Accounting
- False Statements
- False Statements by Company Directors
- Falsification of Documents
- Frauds by Officers
- Good Faith, Use of Position and Use of Information
- Inducement to be Appointed Liquidator etc. of Company
- Insider Trading
- Listed Company – Director to Notify Market Operator of Shareholdings etc.
- Material Personal Interest – Director’s Duty to Disclose
- Notice to ASIC of Share Cancellation
- Notice to ASIC of Share Issue
- Offences By Officers of Certain Companies
- Offences for Failure to Comply With Statutory Duties
- Offences for Failure to Comply With Statutory Duties By Guarantor
