INFO 107
Guidelines for managing complaints about ASIC officers
This is Information Sheet 107 (INFO 107). It describes the guidelines that are in place to ensure that complaints about the conduct of ASIC staff members in connection with our regulatory, investigative and enforcement work are investigated promptly and fairly.
In plain English
INFO 107 outlines how ASIC handles complaints about its staff's conduct during regulatory and enforcement activities.
INFO 107 applies to anyone who wants to make a complaint about an ASIC officer. It details ASIC’s guidelines for investigating these complaints fairly and promptly. The guidelines cover the process for receiving, assessing, and resolving complaints. This information sheet is available on the ASIC website.
Why it matters
If your business interacts with ASIC, understanding this guidance helps you know how ASIC addresses concerns about its own staff. This promotes transparency and accountability in the regulatory process.
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Source: https://www.asic.gov.au/about-asic/contact-us/reporting-misconduct-to-asic/guidelines-for-managing-complaints-about-asic-officers/. Rules Mate indexes + summarises; always verify against the regulator's live publication.