Former ASIC & Treasury Regulators
ASX Continuous Disclosure Support When It Matters
Expert legal support for ASX Aware letters, disclosure obligations, and ASIC matters. Law firm founded by former ASIC and Treasury regulators.
Sound Familiar?
ASX Aware Letter Received
ASX sent a query about market movements, media reports, or trading activity. Response deadline: 24-48 hours.
Quarterly Report Due
Quarterly cashflow report approaching. Internal debate about disclosure thresholds, materiality judgements, and format requirements.
Media Article Published
Media story published about your operations. Is it material? Should you respond? ASX might query. Board needs guidance.
Disclosure Dispute
Management believes information isn't material. Legal counsel disagrees. Timing is uncertain. Consequences of wrong call are significant.
Why ASX Disclosure Is Hard (And Getting Harder)
Continuous disclosure isn't your core business—but it's a constant compliance burden with severe consequences for getting it wrong.
The Reality
- Materiality judgments are subjective and context-dependent
- ASX Aware letters have tight deadlines (24-48 hours)
- ASIC enforcement has intensified
- Digital disclosure requirements evolving rapidly
The Stakes
- ASIC investigations and enforcement actions
- ASX suspension or delisting
- Shareholder class actions
- Reputational damage
A Law Firm Founded by Former ASIC and Treasury Regulators
RGC Advisory is a law firm specialising in governance, regulation, and compliance. Our principals held senior regulatory and policy roles at ASIC and Commonwealth Treasury, with direct experience in capital markets oversight, listed entity compliance, and continuous disclosure.
Owen Rayner — 10+ years at ASIC and Treasury. Director and regulation design specialist at Treasury. Senior ASIC regulator responsible for capital markets oversight.
Chelsea Ta — 10+ years at ASIC. Specialist in regulatory compliance and enforcement.
Our expertise includes:
- Continuous disclosure obligations and materiality assessments
- ASX Aware letter responses and disclosure timing
- ASIC investigation and enforcement matters
- Mining and resources sector disclosure requirements
- Capital markets transaction compliance
We're a law firm founded by former ASIC and Treasury regulators. We provide flexible support—from urgent crisis response to ongoing advisory to automated platform compliance.
How We Support ASX Listed Entities
ASX Aware Letter Response
When you receive an ASX price query or Aware letter.
- Expert legal response within 4 business hours
- Response strategy and materiality assessment
- Professional ASX engagement
- Defensible, regulator-ready submissions
Continuous Disclosure Advisory
For ongoing disclosure management and materiality judgements.
- Real-time disclosure advice when events occur
- Materiality assessment and timing guidance
- Quarterly and half-year report review
- Board and management training
Disclosure Investigation Response
When disclosure issues escalate to ASIC investigations or enforcement.
- Investigation notice analysis
- Evidence gathering and legal strategy
- Professional regulatory engagement
- Remediation and settlement support
MOST COMPREHENSIVERGC Onside Platform -
Reduce disclosure workload while improving compliance. Platform handles routine tasks, alerts you to rule changes, and provides instant guidance—with legal escalation when needed.
- Automated ASX rule change tracking
- Materiality assessment tools
- eLearning and training resources
- Regulatory advisory AI assistant
- Access to specialist legal support
Reduce Disclosure Workload, Improve Compliance
Platform built by former ASIC regulators. Handles routine compliance tasks, provides instant regulatory guidance, with legal escalation when needed.
Smart Materiality Assessment
AI trained on regulatory frameworks evaluates disclosure scenarios against materiality thresholds.
Disclosure Workflow Support
Guided workflows from initial event assessment to ASX announcement.
ASX Rule Overlay
Automatically applies relevant Listing Rules and Chapter 3 requirements to announcements.
Real-Time Rule Monitoring
Tracks ASX rule changes and ASIC guidance updates with impact alerts.
eLearning & Training Resources
Targeted training to align teams with disclosure obligations and processes.
Legal Escalation Support
Escalate complex matters to specialist lawyers when higher-risk issues arise.
Common Questions
What should I do immediately after receiving an ASX Aware letter?
Contact us as soon as possible. ASX queries typically require response within 24-48 hours. We'll analyse the query, assess your disclosure position, and develop a response strategy promptly.
What if we're already under ASIC investigation?
Contact us immediately. We'll work with your legal counsel (or provide direct representation) to develop an investigation response strategy and manage ASIC engagement.
How is RGC different from other law firms?
We're former ASIC regulators who enforced continuous disclosure rules. We understand regulatory expectations from direct oversight experience, not interpretation.
Can you help with routine quarterly reporting?
Yes. Our ongoing advisory service includes quarterly and half-year report review, ASX announcement drafting, and proactive disclosure advice. The Onside platform gives structured support with built-in checks.
Can the Onside platform replace our legal team?
No—and it shouldn't. Onside handles routine compliance tasks and provides instant regulatory guidance, freeing your legal team for strategic work. For complex matters, you can escalate to our lawyers or yours.
How much do your services cost?
It depends on your needs and engagement model. Contact us for a tailored quote.
Navigate ASX Disclosure Obligations with Regulatory Expertise
Continuous disclosure obligations are complex and carry significant consequences. Work with a law firm that understands both the regulatory requirements and how ASIC approaches enforcement.
We respond within 4 business hours for urgent disclosure matters.