Our self-service kiosks are open Monday-Friday, except on public holidays and during ASIC's close down period between Christmas and New Year's day. Office Address: Emmanuel Y. Artiza General Accountant eyartiza@sec.gov.ph: 8818-9763 8818-6120: 285: 3/F Secretariat Building PICC Complex, Roxas Boulevard Pasay City, 1307: SEC Oversight Assurance Review Guada May S. Preciados Assistant Director gmspreciados@sec.gov.ph: 8818-9795: 318: 3/F Secretariat Building PICC Complex, Roxas Boulevard Pasay City, 1307 Tel: +233-302-768970-2, info@sec.gov.gh ACT office address and hours; NSW office address and hours; NT office address and hours; QLD office address and hours; SA office address and hours; TAS office address and hours; VIC office address and hours; WA office address and hours; Christmas closedown; State … Information about applying for and maintaining your licence or professional registration. 3, Persiaran Bukit Kiara, Bukit Kiara, 50490 Kuala Lumpur 1/11/2021 - Alabama Securities Commission Makes Big Strike on Texas Based Oil & Gas Investment Scams 12/28/2020 - Investors Need to Do More Than Eat Greens on New Year's Day to Prosper. We aim to respond to your enquiry within 3 business days. See a listing of securities laws. We appreciate your patience at this time and apologise for any inconvenience this may cause. Office of Legislative and Intergovernmental Affairs Holli Heiles Pandol, Director (202) 551-2010. Securities Margin Finance ("SMF") Suitability. To ensure trust and confidence in the capital market, the SC regulates the capital market based on the principles of transparency and proportionality to commensurate with the risks posed. Securities Commission (SC) is a Legal body in Malaysia commissioned with the liability of controlling and consistently creating the capital markets. The Securities Commission Malaysia (SC) was established on 1 March 1993 under the Securities Commission Act 1993 (SCA).We are a self-funded statutory body entrusted with the responsibility to regulate and develop the Malaysian capital market. Office of Investor Education and Advocacy Lori Schock, Director (202) 551-6500 Contact. Fundraising restrictions on advertising and cold calling, Consolidation of fundraising instruments and guidance, Public comment on ASIC's regulatory activities, Private court proceedings - ASIC involvement, Recovery of investigation expenses and costs, Lawful disruption of access to online services, 370 Officeholder notifies resignation/retirement, Registering or transferring a business name, Checking your account balance or requesting an invoice. TIS National will then call us with an interpreter so we can help you with your query. If you are enquiring about an Australian Business Number you will need to contact the Australian Business Register. Find an application form. 26 of 1991, Act No. File an Investor Complaint. SEDI is the System for Electronic Disclosure by Insiders, established by securities regulatory authorities. Find out if an entity is registered/licensed by the Commission. You can contact the Australian Business Register at www.abr.gov.au. I'm a company officeholder, what are my registration obligations? 1-202-551-4119 (Disability Program) Toll Free: 1-800-732-0330 (Investor Information) Forms: For website content issues (including broken links) or to make general comments and suggestions about usability email feedback@asic.gov.au. Others. Main Address: 100 F St., NE Washington, DC 20549. Contact Us. Visit their website at http://relayservice.gov.au/. The contact details for the Securities and Exchange Commission of Pakistan are as follows: SECP Head Office . If you have received correspondence from ASIC and you wish to respond in writing please send your response to the address printed on the letter. To return to the main menu, press '9'. The Securities Commission of The Bahamas is in the process of developing a comprehensive whistleblower programme for legislation under its administration. The Securities Commission Malaysia, abbreviated SC, a statutory body entrusted with the responsibility of regulating and systematically developing the capital markets in Malaysia. It was formed on March 1, 1993 and headquarters in Kuala Lumpur, Malaysia. Lodging prospectuses and other disclosure documents. Small business resources in other languages, Professional standards for financial advisers, Appointing and ceasing an AFS authorised representative, Applying for and managing your credit licence, Varying or cancelling your credit licence, Tips for applying for auditor registration, Applying for auditor or authorised audit company registration, Your ongoing obligations as a registered company auditor, Changing your auditor registration details, Self-managed superannuation fund (SMSF) auditors, Updating your details and submitting requests to ASIC, Your ongoing obligations as an SMSF auditor, Applying for and managing your liquidator registration, Your ongoing obligations as a registered liquidator, Changing or cancelling your liquidator registration, Registered liquidator transactions on the ASIC Regulatory Portal, Licensed and exempt clearing and settlement facilities, COVID-19 information – Managed investment schemes, Competition in the funds management industry, Superannuation guidance, relief and legislative instruments, Insolvency for investors and shareholders, Director oversight of financials and audit, Corporate actions involving share capital, Changes to how you lodge fundraising and corporate finance documents. Lodging prospectuses and other disclosure documents. Understand what SCB’s examination priorities are. These addresses are visible when conducting a company search. It was replaced on 1 May 2011 by the Financial Markets Authority.. The Securities Commission of The Bahamas (“the Commission”), established in 1995, is committed to the growth and development of a vibrant, competitive financial services sector renowned for regulatory excellence. 19 January 2021 - MEDIA RELEASE 21-007MR ASIC bans former Sydney adviser for three years ASIC has banned Sydney-based financial adviser Jim Pavlidis from providing financial services for three years. 18 of 2003 and Act no. Securities and Futures Commission 54/F, One Island East 18 Westlands Road, Quarry Bay, Hong Kong General enquiries. Everything you need to know about the areas we regulate. Note: This address is not for general enquiries about our services. Submit a insider report late fee payment. Fundraising restrictions on advertising and cold calling, Consolidation of fundraising instruments and guidance, Public comment on ASIC's regulatory activities, Private court proceedings - ASIC involvement, Recovery of investigation expenses and costs, Lawful disruption of access to online services, Temporary restructuring relief for companies, 370 Officeholder notifies resignation/retirement, Apply for, vary, or cancel a registration. Hours Reception hours: 8.00 - 5.30pm All staff are required to wear face coverings whilst at work, including when answering phone enquiries. Address. If you have any difficulties with lodging documents, please phone the Customer Contact Centre on 1300 300 630. Mining. You can ask us a question online. To contact us for help: Call us at 1-800-732-0330; Use our online forms to ask a question or report a problem concerning your investments Email us at Help@sec.gov; Fax us at 1-202-772-9295; Write us at: U.S. Securities and Exchange Commission Contact. The Securities Commission was an independent Crown entity of the government of New Zealand and the main regulator of investments. When can you raise funds without a disclosure document? There are some transactions we cannot do over the phone. Sydney office physical address and courier deliveries. Document lodgements can be made online, via an agent or mailing directly to ASIC. If you are having difficulties using ASIC Connect or other online services to complete specific tasks you can report the issue. Please note that all Australia Post mail must be sent for processing to GPO Box 9827 Brisbane Qld 4001. Office address Level 5 100 Market Street Sydney NSW 2000. Genus Life Insurance is contacting customers. If you can't find the information you are looking for on this website, we have a range of services to help. Contact Address Print Font Size. We respect your right to complain about our services, actions, decisions or staff and will treat your complaint seriously and confidentially. We are unable to take payments over the phone. File a Complaint Reporting Issuer List For information about general purpose financial statements or SGEs, please contact SGE@ato.gov.au. 47 of 2009. How ASIC regulates financial services and products and what to do when you have a problem with your finances. If you have difficulty speaking or understanding English, call the interpreting service, TIS National, on 131 450. Document lodgement boxes have been removed from all ASIC offices. We cannot tell you what investments to make, but we can help you to invest wisely and avoid fraud. Below is a list of the phone menu options for our most common enquiries. The securities division of the Manitoba Securities Commission protects investors and promotes fair and efficient capital markets throughout the province. Contact - Securities and Exchange Commission Ghana - SEC Ghana. The self-service kiosks are not staffed. BANGLADESH SECURITIES AND EXCHANGE COMMISSION Securities Commission Bhaban E-6/C, Agargaon Sher-e-Bangla Nagar Administrative Area Dhaka-1207, Bangladesh. What disclosure documents do you need to give potential investors when raising funds? Fax: +880-2-55007106. Payment options are listed at the bottom of invoices issued by ASIC. Insider Report Late Fee Payment. Office of Minority and Women Inclusion Pamela Gibbs, Director (202) 551-6046 OMWI@sec.gov. Report an investment fraud. Everything you need to know about the areas we regulate. Alternatively if you wish to write to us you can mail your correspondence to: Australian Securities and Investments CommissionGPO Box 9827Brisbane QLD 4001. Find out more about lodging a complaint about ASIC. Timing: 9:00 AM to 5:00 PM. Phone Number: 1-202-551-6551. Securities and Exchange Commission (SEC) Contact: Contact the Securities and Exchange Commission. To hear the options again, press '8'. If we receive information that an address may be incorrect or when mail gets returned, we may highlight this fact in our register. Other options, including by phone, are available if you prefer to remain anonymous. The Securities and Exchange Commission (SEC) Main Office, Satellite Offices and Extension Offices, will continue operating at limited capacity while quarantine measures remain in place across the country due to the COVID-19 pandemic. Do you have information about possible misconduct occurring in an organisation or activity that ASIC regulates? Visit ASIC's website for more information. It was responsible for enforcement, monitoring and market oversight of the securities markets, authorising participants and promoting public understanding of investments. 36 of 1987 as amended by Act No. About us, how we regulate and the laws we administer. Hours of business vary between states and territories. If you choose to ask us a question online we will request your personal details so that we can contact you to discuss your enquiry and seek further information if required. We facilitate a vibrant and collaborative environment which generates and protects wealth, and creates value for all. By mailing directly to ASIC's Traralgon Offices: Apply for, vary, or cancel a registration. E-mail: info@sec.gov.bd; secbd@bdmail.net . If you have received correspondence from ASIC and you wish to respond in writing please send your response to the address printed on the letter. P.O. The Securities Act 1997 empowers the SCPNG to investigate persons and organisations which breaches the provisions of the Securities Act 1997, Securities Regulation 1998, and the Takeovers Code 1998. For some enquiries, you can contact us through our web chat service. The Customer Contact Centre's (CCC) business hours are Monday to Friday 8:30 am to 5:00 pm (local time) in each state and territory. Enquiry types that can be answered through our web chat service include: Please note that our self-service kiosk in Melbourne is temporarily closed in light of public health concerns. Box N- 8347. We suggest asking us a question online instead. Small business resources in other languages, Professional standards for financial advisers, Appointing and ceasing an AFS authorised representative, Applying for and managing your credit licence, Varying or cancelling your credit licence, Tips for applying for auditor registration, Applying for auditor or authorised audit company registration, Your ongoing obligations as a registered company auditor, Changing your auditor registration details, Self-managed superannuation fund (SMSF) auditors, Updating your details and submitting requests to ASIC, Your ongoing obligations as an SMSF auditor, Applying for and managing your liquidator registration, Your ongoing obligations as a registered liquidator, Changing or cancelling your liquidator registration, Registered liquidator transactions on the ASIC Regulatory Portal, Licensed and exempt clearing and settlement facilities, COVID-19 information – Managed investment schemes, Competition in the funds management industry, Superannuation guidance, relief and legislative instruments, Insolvency for investors and shareholders, Director oversight of financials and audit, Corporate actions involving share capital, Changes to how you lodge fundraising and corporate finance documents. I'm a company officeholder, what are my registration obligations? If you are not authorised to act on behalf of the entity, we can only provide general information and no specific entity information will be disclosed. Suite 600, 250–5th St. SW. Calgary, Alberta, T2P 0R4. Product design and distribution obligations, Temporary restructuring relief for small business, More releases, articles, news, speeches and podcasts, Check business name details are up to date, Request an alternative registration period for business name, Steps to transfer a business name to a new owner, Steps to register a business name with a transfer number, ASIC-initiated cancellation of business name. The statements will be passed on by the ATO to ASIC and then available for purchase from ASIC's 'Companies and Organisations' register. Business hours: Monday to Friday 8 a.m. - 5 p.m. Closed on statutory holidays. Report misconduct to ASIC For more information about payment options visit our website at www.asic.gov.au/payment-options. Nassau, The Bahamas. Information about applying for and maintaining your licence or professional registration. Creating a sound and safe investment environment in the securities and capital markets in Zimbabwe and beyond. Check business name details are up to date, Request an alternative registration period for business name, Steps to transfer a business name to a new owner, Steps to register a business name with a transfer number, ASIC-initiated cancellation of business name. How ASIC regulates financial services and products and what to do when you have a problem with your finances. Mail for Sydney office GPO Box 9827 Brisbane Qld 4001 DX: 653 Sydney. The Securities and Exchange Commission of Sri Lanka (SEC) was established in pursuance of the Securities and Exchange Commission of Sri Lanka Act, No. Website of the Securities and Exchange Commission of Zimbabwe (SECZ). The Commission has conducted several investigations and recommendations have made to relevant agencies to file proceedings against people implicated breaches of the law. If you experience difficulty hearing or understanding our staff over the phone, you are encouraged to ask us a question online. As our Customer Contact Centre is located in regional Victoria, we are adhering to the recent government directions regarding face coverings. ASIC has offices in each state and territory. The CCC closes for business on national public holidays and has limited services available on public holidays for each state and territory. 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