WHAT ARE ASIC ENFORCEABLE UNDERTAKINGS?

WHAT IS AN ASIC ENFORCEABLE UNDERTAKING?

A court enforceable undertaking is an agreement accepted by ASIC from a person or organisation. It can require specific action to address conduct or compliance concerns.

Depending on its terms, an undertaking may include commitments to improve compliance systems, correct misleading advertising, compensate affected customers or stop particular conduct.

WHAT CAN YOU FIND ON THE REGISTER?

ASIC's court enforceable undertakings register lists undertakings accepted since 1998. The register may include:

• the names of the parties giving the undertaking
• the legislation under which ASIC accepted it
• the date ASIC accepted the undertaking
• a PDF copy of the undertaking
• an ASIC media release providing background
• compliance information for some undertakings

WHY ENFORCEABLE UNDERTAKINGS MATTER

An enforceable undertaking can provide valuable context when researching a company, director, financial services business or regulatory matter. It may identify the conduct ASIC sought to address and the commitments a party made in response.

Acceptance of an undertaking does not, by itself, establish every relevant fact or legal outcome. The specific undertaking, associated ASIC material and any related court or regulatory records should be read together.

HOW DATAV3 HELPS

DATAV3 brings millions of records from more than 50 Australian government and public sources into one search workflow. Search ASIC enforceable undertakings alongside company records, court filings, government contracts, parliamentary material and other relevant datasets.

This helps lawyers, M&A teams, investment analysts, insurance professionals, compliance and risk teams, and journalists investigate regulatory history and organisational risk with broader context.

OFFICIAL SOURCE

ASIC: Court enforceable undertakings register ↗

Last reviewed: 5 September 2026