---
title: "Compulsory regulator notice response checklist (ASIC s 33 and ACCC s 155 notices)"
url: "https://ailawframework.com/precedents/in-house-general-counsel/compulsory-regulator-notice-response-checklist"
type: "precedent"
site: "AI Law Framework"
id: "a40-compulsory-regulator-notice-response-checklist"
area_id: "A40"
kind: "checklist"
ai_level: "red"
version: 1
task_ids: ["A40-T1-R13", "A40-T1-R8"]
law_stated_as_at: "2026-10-18"
---

# Compulsory regulator notice response checklist (ASIC s 33 and ACCC s 155 notices)

> A step-by-step checklist for an in-house team that receives a compulsory notice from ASIC or the ACCC: triage, preservation, scope negotiation, search records, privilege schedule, signed response and close-out.

Canonical page: https://ailawframework.com/precedents/in-house-general-counsel/compulsory-regulator-notice-response-checklist  
Law stated as at: 2026-10-18

Site index for agents: https://ailawframework.com/llms.txt

## Key facts

- Kind: Checklist. Steps or checks to work through and tick off.
- Practice area: [In-House / General Counsel](https://ailawframework.com/precedents/in-house-general-counsel.md)
- Jurisdictions: Australia, Commonwealth
- AI level: Red. Keep AI out of the decisive steps. A lawyer does the work.
- Law stated as at: 2026-10-18
- Status: Maintained. Checked on 2026-10-18 against the 6 authorities it cites, for Australia and Commonwealth.

## When to use it

Use from the day a notice to produce documents, furnish information or attend is served on the organisation under section 33 of the ASIC Act or section 155 of the Competition and Consumer Act. Adapt it for other regulators’ compulsory notices, checking the power relied on in the notice itself.

## Used for these tasks

- [Build a hold notice and a response pack for a regulator notice](https://ailawframework.com/practice/in-house-general-counsel/build-a-hold-notice-and-a-response-pack-for-a-regulator-notice.md)
- [Build a privilege log from the document set](https://ailawframework.com/practice/in-house-general-counsel.md#A40-T1-R8)

## How AI may be used

AI may index, de-duplicate and organise the collected documents and keep the deadline log, but the lawyer decides scope, responsiveness, privilege and every word of the signed response.

**AI may:**

- De-duplicate, thread and cluster the collected documents and prepare a draft production index with control numbers
- Extract dates, custodians and document types into the search log so the scope and limitations description can be written by the lawyer
- Flag documents that mention lawyers or legal advice for human privilege review, without deciding the claim

**AI must not:**

- Must not decide whether a document is responsive, privileged or outside the notice; a person reviews every document the tool marks as non-responsive or privileged
- Must not draft the information furnished in answer to a s 155(1)(a) notice or any statement the competent officer signs
- Must not process the notice, the collected documents or privileged material in a tool that retains inputs or trains on them, or outside the organisation’s approved environment
- Must not be used to delete, overwrite or re-save original documents or metadata once a preservation notice is in force

**The lawyer checks:**

- The power relied on, the matter described in the notice, the return date and any agreed variation are confirmed in writing with the regulator
- Each privilege claim is itemised and supported by facts showing the dominant purpose, with no blanket claims and masked copies for part-privileged documents (INFO 165)
- The written description of the scope and limitations of the search is accurate, including any technology-assisted review method used (s 155(5B)(c))
- The competent officer who signs the response has read it and every statement has been checked against the source documents (s 155(5)(b))

## Authorities

- [Australian Securities and Investments Commission Act 2001 (Cth) s 33 (notice to produce books in a person’s possession) and s 63 (offence for failing to comply)](https://classic.austlii.edu.au/au/legis/cth/consol_act/asaica2001529/s33.html)
- [Competition and Consumer Act 2010 (Cth) s 155(1), (2AA) (power to obtain information, documents and evidence; varying the time for compliance)](https://classic.austlii.edu.au/au/legis/cth/consol_act/caca2010265/s155.html)
- [Competition and Consumer Act 2010 (Cth) s 155(5), (5B), (6) and (6A) (offences, reasonable search defence and written description of the scope and limitations of the search)](https://classic.austlii.edu.au/au/legis/cth/consol_act/caca2010265/s155.html)
- [Competition and Consumer Act 2010 (Cth) s 155(7) and (7B) (self-incrimination not an excuse; legal professional privilege preserved)](https://classic.austlii.edu.au/au/legis/cth/consol_act/caca2010265/s155.html)
- [ASIC Information Sheet 165 Claims of legal professional privilege (INFO 165)](https://www.asic.gov.au/about-asic/asic-investigations-and-enforcement/claims-of-legal-professional-privilege)
- [Evidence Act 1995 (Cth) s 118 (legal advice privilege, dominant purpose)](https://classic.austlii.edu.au/au/legis/cth/consol_act/ea199580/s118.html)

## Full text and drafting notes

The full text and the drafting notes are not part of this public page. Signed-in firm accounts can read them at https://ailawframework.com/precedents/in-house-general-counsel/compulsory-regulator-notice-response-checklist and through the signed-in MCP connector https://ailawframework.com/mcp/firm.

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*