Australian Securities &
Investments Commission

Compelled Examinations – Notices to Produce

Get informed about the law, your rights, and responsibilities

The Australian Securities and Investments Commission (ASIC) has coercive powers to compel the production of documents or other evidence relevant to an investigation. The powers are broad and non-compliance can have criminal consequences. Evidence obtained through such investigations may be used later in court proceedings.

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ASIC Powers

Anderson Legal assists individuals and businesses dealing with confidential investigations conducted by ASIC.


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ASIC Powers

Anderson Legal assists individuals and businesses dealing with confidential investigations conducted by ASIC.

On-Demand Resources

View our growing library of articles and webinars, which are accessible no matter the time of day or night.

Free Consultation

Anderson Legal provides a free, no-obligation consultation to understand whether this firm can assist you.

Australian Securities & Investments Commission Powers

Before you can decide how to manage your rights and responsibilities, you must first understand them.
This section deals with the following:
Criminal Defence Image

Australian Securities & Investments Commission Powers

Before you can decide how to manage your rights and responsibilities, you must first understand them.
This section deals with the following:
Criminal Defence Image

Coercive Hearings & Notices

Background

The Australian Securities and Investments Commission (ASIC) has coercive powers to compel the production of documents or other evidence relevant to an investigation. The powers are used for a variety of purposes, including to protect potential witness from certain claims that could otherwise be made against them, as well as to obtain evidence for later use in court proceedings. Such work may be protected by secrecy laws that make the unauthorised disclosure of its activities unlawful and punishable by imprisonment.

The Australian Securities and Investments Commission (ASIC) uses its powers as part of the regulatory framework, requiring documents and information primarily from Australian companies, as well as those associated with financial markets and financial services organisations.

Consequences of Non-Compliance

Law enforcement agencies such as ASIC have significant powers to compel information and evidence from individuals and corporate entities. In some instances, secrecy provisions prevent people from disclosing that they have been subject to a coercive hearing or coercive notice to produce information, except in limited circumstances such as to get advice from a lawyer.

Getting advice from an experienced lawyer can be crucial to understanding your rights and obligations. Non-compliance with valid orders to cooperate with ASIC may render a person liable to significant penalties, including imprisonment.


ASIC Examinations

An member connected to the Australian Securities and Investments Commission has the power to compel, by a written summons, a person to appear at a hearing to do either or both of the following:

  • give evidence;
  • produce specified documents.

Hearings are inquisitorial in nature. While a person may be asked questions relating to specific issues, it is also possible a witness may be permitted to give evidence by providing a written statement. There are steps that can be taken to safeguard, to a limited extent, how incriminating or privileged answers may be used in future proceedings.

If you have been served a notice to produce or a summons from the Australian Securities and Investments Commission, contact Anderson Legal to safeguard your legal rights and interests. With significant experience in dealing with sensitive legal issues involving coercive powers, Andrew Anderson has the expertise and experience to provide you advice and guidance.


ASIC Notices to Produce

Under Part 3, Division 3 of the Australian Securities and Investments Commission Act 2001 (Cth), ASIC has the power to give a person a written notice requiring the production of specified books that are in their possession that may relate to the affairs of a corporate entity or service with which they are associated or have in their possession or control. A notice to produce may also require the production of information that relates to the question whether an auditor has complied with specified audit requirements.

If you are lawfully served with a notice to produce, it is an offence publishable by imprisonment to not comply with it. A person served with a notice to produce can seek advice from a lawyer about their rights and responsibilities, as well as how any issues relating to privileged materials may be handled.

Obtaining legal advice can be critical to understanding how, even when you may be compelled or coerced to produce a document or other evidence, to take steps to protect your legal rights and interests as far as possible.


Anderson Legal is frequently engaged to assist people caught up in investigations by law enforcement agencies. If you are dealing with an investigation, examination or notice to produce by ASIC and need advice and representation, Anderson Legal offers comprehensive criminal law services for its clients. This includes:

  • providing advice relating to notices or documents served on our clients;
  • advising clients on their legal options, including challenging compulsory notices;
  • communicating on behalf of its clients with ASIC investigators and lawyers;
  • reviewing information possibly subject to a notice to produce to ensure compliance;
  • negotiating protections and accommodations for clients facing examination before the ASIC; and,
  • representing clients in hearings relating to investigations undertaken by ASIC.

This firm places an emphasis on providing clear guidance so that our clients are placed in a real position to make informed decisions about their options and their preferred path forward. Anderson Legal provides clear, transparent disclosure of its legal costs at every stage.

  • Andrew Anderson, Legal Director, is an award-winning lawyer who has been independently described by the Courier Mail as “one of the best legal minds” and a “leading corporate and white-collar crime lawyer” (16 December 2021).
  • Having successfully represented litigants in the High Court of Australia, Queensland Court of Appeal, Royal Commissions, and multiple other courts dealing with trials and other hearings, Andrew Anderson has a demonstrated record of success in complex and difficult cases.
  • Prior to operating a law firm, Andrew Anderson worked as a Principal Crown Prosecutor in Queensland and barrister in private practice at 8 Petrie Terrace Chambers in Brisbane. His depth of courtroom advocacy experience ranges from straightforward cases right through to complex homicide trials and appeals.
  • Anderson Legal is a law firm that is dedicated to the best ideals of the legal profession. Seeking to exceed client expectations and fighting for justice is an everyday pursuit.

Limitations on general information

Each legal issue is unique. The information on this page and website cannot – and is not meant to – substitute legal consultation. It is designed to outline information of a general nature if you want to learn more about examinations and notices to produce by ASIC, particularly as it relates to anybody facing an issue of this kind in Queensland. Anybody dealing with an ASIC investigation ought to obtain expert legal advice and guidance as soon as possible.

No content accessible on the website is created to provide specific legal answers or advice. It is designed to provide general information about legal matters and related concepts. It should not be used as, or in substitute of, your own legal advice or other advice as appropriate.

To the extent allowed by law, no warranty, condition, or guarantee is provided in relation to the accuracy or reliability of any information contained on this site. Content may be changed from time to time without notice.

If you face a compelled examination or notice to produce from ASIC, contact Anderson Legal. This firm provides expert advice and representation for people needing assistance to defend themselves against unjust accusations.

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On-Demand Resources

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On-Demand Resources

View below the on-demand resources of this firm.
On-Demand Resources

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It is notoriously difficult to compare lawyers. Past courtroom experience and outcomes achieved do provide some basis for comparison. Andrew Anderson has an enviable record of success in contested hearings, trials and appeals.

You may find other principal lawyers charge 50% (or more) above the hourly rates of the principal lawyer of this firm, but that may not be the most important measure of value. When you face a legal issue, particularly a complex one, there are other issues to consider.

As a lawyer who has achieved significant outcomes in a variety of contexts – as a Principal Crown Prosecutor, as a barrister, and as a law firm principal – Andrew Anderson brings a different level of experience to his advice and representation as compared to most solicitors. While he routinely works with leading Queens Counsel and other specialist barristers in complex cases, his significant experience in litigating and resolving disputes in cases throughout Australia means his clients have genuine expertise available from the start.

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