Latest ASIC News

Investment scammer targeting regional West Aussies
ASIC obtains orders to wind up three financial services companies
ASIC obtains orders to wind up 3 financial services companies
ASIC permanently bans financial adviser and disqualifies company director
Mayfair 101 defends compliance of its financial products
ASIC commences proceedings against Mayfair 101 and Mayfair Platinum for misleading or deceptive
Charterhill director George Nowak sentenced to ten years’ imprisonment for deception
ASIC reinforces ACTU’s calls to stop unsolicited financial advice for tenants
ASIC cancels AFS licences of FS Securities, Your Super Life and ACN 140 520 225
Court winds up Merlin Diamonds Limited
ASIC provides information on funeral expenses reform
Facilitating capital raisings during COVID-19 period
Banks to help commercial landlords who help tenants through COVID19
Federal Court confirms Storm Financial directors breached duties
Former NSW South Coast financial advisor sentenced for dishonestly obtaining client funds
ASIC bans Western Australian adviser for four years
Former director disqualified after transferring business and leaving insufficient assets to
ASIC recalibrates its regulatory priorities to focus on COVID-19 challenges
ASIC suspends AFS licence of Longhou Capital Markets Pty Ltd
Banks announce Small Business Relief Package
Guidelines for meeting upcoming AGM and financial reporting requirements
Societe Generale Securities Australia Pty Ltd charged with breaching client money obligations
Colonial First State Investments Limited (CFSIL) receives statement of claim from ASIC
AMP Life and AMP Capital pay penalties in relation to trade reporting rules
ASIC commenced proceedings against Colonial First State over dealings with MySuper accounts
Commonwealth Bank acknowledges proceedings commenced by ASIC
ASIC commences proceedings against CBA over AgriAdvantage Plus Package – Royal Commission case study
ASIC commences proceedings against CBA over credit services provided to problem gambler – Royal
ASIC takes steps to ensure equity market resiliency
Citation Resources director and OKAP Ventures company secretary charged with stealing and forgery
High Court of Australia rules in favour of ASIC in finding Group CEO was an ‘officer’ of subsidiary
ASIC Annual Forum and Annual Dinner postponed
Insurers breach own code hundreds of times in 6 months
Following consultation, ASIC releases new regulatory framework for foreign financial services
ASIC permanently bans Mark Travis Goldenberg
ASIC consults on proposals about advice fee consents and independence disclosure
Former NewSat CEO sentenced
Former financial advisor pleads guilty to dishonest conduct
Charges laid against former credit representative
ASIC releases information sheet on document production guidelines
Pre-insolvency adviser imprisoned for money laundering
Class actions filed in Federal Court alleging ANZ and Westpac sold junk insurance
ASIC cancels AFS licence of RVM Capital
OTC derivative issuer AGM Markets engaged in unconscionable conduct
ASIC update on enforcement and regulatory work
ASIC cancels AFS licence of Financial Options and permanently bans adviser
Former investment analyst pleads guilty to insider trading in securities of Big Un Limited
ASIC consults on relief for companies planning an initial public offering