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Latest Australian Securities and Investments Commission News

  • Latest Australian Securities and Investments Commission news stories and updates. What is happening today? All recent Australian Securities and Investments Commission news and developments. Live coverage and timeline of Australian Securities and Investments Commission. All you need to know about Australian Securities and Investments Commission.
ASIC suspends AFS licence of Prime Value Asset Management Limited
Financial Services and Credit Panel issues registration prohibition order against financial adviser Peter Morrison-Dowd
ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)
Former MWL financial adviser Christian Henry banned for three years
ASIC warning: Pump and dump scammers intensify use of fake celebrity endorsements
ASIC Statement Of Intent
New Statements of Expectations for APRA and ASIC to focus more on growth
ASIC bans former MWL financial adviser Nicole Niu for 5 years
NAB’s WealthHub fined over $1 million for reporting failures
Federal Court orders First Mutual Private Equity and unregistered managed investment scheme to be wound up
ASIC moves to wind up Capital Guard over concerns about investor funds
Former insurance broker Craig Horsell’s suspended sentence activated after further offending
ASIC disqualifies Queensland director David Fanning for 5 years
Deutsche Bank pays $2 million penalty for systemic trade reporting failures
ASIC cancels CAIP Services’ AFS licence for ceasing to carry on a financial services business
ASIC cancels AFS licence of an Australian financial services provider for ceasing to carry on a financial services business
ASIC cancels AFS licence of CFD issuer Trive
Former bankrupt coconut water CEO acquitted of ASIC charge on appeal, withdraws conviction appeal on two other charges
Former WA director Joanne Pellew convicted of Corporations Act offences following ASIC investigation
ASIC review provides insights into voluntary administration and deed of company arrangement outcomes
ASX ordered to pay $20.5 million penalty for misleading conduct relating to CHESS replacement project
Who has access to my bank details? What protections are in place to prevent misuse?
ASIC issues DDO stop orders against Stratfund’s Australian Fixed Income Fund
Unfair Trading Tricks And Traps To Be Banned
ASIC cancels AFS licence of Capital Guard for fake bond sale and other dishonest conduct
Rex held accountable for continuous disclosure failure, three non-executive directors did not breach duties
NSW restaurateur Giuseppe DeFrancesco first person charged by ASIC with creditor defeating criminal offences
New laws to help Australians know who stands behind a company
ASIC pushes for coordinated action to strengthen competitiveness of Australian markets
WA director Trent Bowden pleads guilty to over $1.5 million investor deception
ASIC secures $10.3 million in penalties against Mercer Super for systemic reporting failures
ASIC calls platform trustees to account over persistent failures to safeguard super savings
Registered Company Auditor John Gordon Owenell hands in registration following independence concerns raised by ASIC
ASIC sues former Keystone Asset Management directors and compliance committee members over alleged Shield failures
ASIC lifts bonnet on car finance costs and distribution concerns
Property developer David McWilliams charged over $10 million fraud scheme
Former Metigy CEO David Fairfull sentenced to nine years’ imprisonment
Full Federal Court dismisses ASIC appeal on HCF Life unfair contract term finding
ASIC bans Brett Anthony Newbound from providing financial services for 10 years and cancels licenses of Freedom Wealth Services Pty Ltd
Federal Court orders $35 million penalty against HSBC for scam protection failures
$35 million penalty sought as HSBC admits to scam protection failures, and implements compensation plan
ASIC expands list of known entities involved in lead generation
ASIC successful in High Court Block Earner appeal
Former Star Entertainment executives Mathias Bekier and Paula Martin disqualified and ordered to pay penalties
ASIC helps strengthen the fight against imposter scams in financial services
KPMG lost its clients’ trust, yet kept winning government contracts. Here’s what needs to change
ASIC and APRA announce FAR changes to reduce administrative burden
APRA and ASIC announce FAR changes to reduce administrative burden

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