ASIC proposes improved pre-IPO advertising flexibility and global alignment
ASIC proposes improved pre-IPO advertising flexibility and global alignment
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Broker DealerAsset Manager
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Capital Markets & Trading in Australia
Capital Markets & Trading regulatory updates from Australia.
ASIC sues Auditeo and auditors over alleged First Guardian audit failures
ASIC sues Auditeo and auditors over alleged First Guardian audit failures
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Asset ManagerWealth Manager
Court winds up Capital Guard and appoints liquidators following successful ASIC application
Court winds up Capital Guard and appoints liquidators following successful ASIC application
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Wealth ManagerAsset Manager
ASIC cancels the registered agent status of Registry Australia Pty Ltd
ASIC cancels the registered agent status of Registry Australia Pty Ltd
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All Firms
ASIC reminds Registered Company Auditors of their obligations and outlines stronger oversight
ASIC reminds Registered Company Auditors of their obligations and outlines stronger oversight
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All Firms
Federal Court finds former Noumi CEO breached directors’ duties and financial reporting obligations
Federal Court finds former Noumi CEO breached directors’ duties and financial reporting obligations
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ASIC secures record $830 million in civil penalties orders and $644 million back to Australians in 2025-26
ASIC secures record $830 million in civil penalties orders and $644 million back to Australians in 2025-26
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BankBroker DealerAsset Manager
ASIC warning: Pump and dump scammers intensify use of fake celebrity endorsements
ASIC warning: Pump and dump scammers intensify use of fake celebrity endorsements
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Broker DealerBankAll Firms
ASIC Statement of Intent
ASIC Statement of Intent
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All Firms
NAB’s WealthHub fined over $1 million for reporting failures
NAB’s WealthHub fined over $1 million for reporting failures
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Broker DealerWealth Manager
Deutsche Bank pays $2 million penalty for systemic trade reporting failures
Deutsche Bank pays $2 million penalty for systemic trade reporting failures
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Bank
ASIC cancels AFS licence of CFD issuer Trive
ASIC cancels AFS licence of CFD issuer Trive
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Broker Dealer
ASX ordered to pay $20.5 million penalty for misleading conduct relating to CHESS replacement project
ASX ordered to pay $20.5 million penalty for misleading conduct relating to CHESS replacement project
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Broker Dealer
ASIC cancels AFS licence of Capital Guard for fake bond sale and other dishonest conduct
ASIC cancels AFS licence of Capital Guard for fake bond sale and other dishonest conduct
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Wealth ManagerBroker Dealer
ASIC pushes for coordinated action to strengthen competitiveness of Australian markets
ASIC pushes for coordinated action to strengthen competitiveness of Australian markets
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Broker DealerAsset ManagerFintech
Rex held accountable for continuous disclosure failure, three non-executive directors did not breach duties
Rex held accountable for continuous disclosure failure, three non-executive directors did not breach duties
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WA director Trent Bowden pleads guilty to over $1.5 million investor deception
WA director Trent Bowden pleads guilty to over $1.5 million investor deception
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Asset ManagerWealth Manager
Property developer David McWilliams charged over $10 million fraud scheme
Property developer David McWilliams charged over $10 million fraud scheme
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Asset ManagerAll Firms
Former Metigy CEO David Fairfull sentenced to nine years’ imprisonment
Former Metigy CEO David Fairfull sentenced to nine years’ imprisonment
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Fintech
ASIC successful in High Court Block Earner appeal
ASIC successful in High Court Block Earner appeal
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FintechCrypto Exchange
ASX admits misleading conduct relating to CHESS replacement project
ASX admits misleading conduct relating to CHESS replacement project
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Broker Dealer
Federal Court orders record $300 million penalties in ASIC’s case over ‘egregious’ Union Standard and CFD operator misconduct
Federal Court orders record $300 million penalties in ASIC’s case over ‘egregious’ Union Standard and CFD operator misconduct
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Broker DealerAll Firms
Palmer Leisure Coolum Pty Ltd pleads guilty to takeover law breaches
Palmer Leisure Coolum Pty Ltd pleads guilty to takeover law breaches
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Fashion and beauty retailers trading under the Zara, H&M and Sephora brands pay $596,000 in infringement notices for failing to lodge financial reports on time
Fashion and beauty retailers trading under the Zara, H&M and Sephora brands pay $596,000 in infringement notices for failing to lodge financial reports on time
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CDPP discontinues insider trading charges against Big Un former CFO Andrew Corner following hung jury
CDPP discontinues insider trading charges against Big Un former CFO Andrew Corner following hung jury
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Fund manager Rodney Forrest re-sentenced to five years and three months’ jail following insider trading appeal
Fund manager Rodney Forrest re-sentenced to five years and three months’ jail following insider trading appeal
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Asset Manager
ASIC appeals Federal Court decision dismissing case against Nuix
ASIC appeals Federal Court decision dismissing case against Nuix
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ASIC continues to ease regulatory burden
ASIC continues to ease regulatory burden
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All Firms
ASIC sets financial reporting, audit and sustainability focus areas for FY 2026–27
ASIC sets financial reporting, audit and sustainability focus areas for FY 2026–27
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Asset ManagerBroker DealerAll Firms
Former Big Un CEO pleads guilty in insider trading case
Former Big Un CEO pleads guilty in insider trading case
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BankBroker DealerAsset Manager
Electro Optic Systems Holdings ordered to pay $4 million penalty for continuous disclosure breaches
Electro Optic Systems Holdings ordered to pay $4 million penalty for continuous disclosure breaches
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All Firms
ASIC publishes ASX Inquiry Panel Final Report and acknowledges observations
ASIC publishes ASX Inquiry Panel Final Report and acknowledges observations
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BankBroker DealerAll Firms
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
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Broker DealerBank
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
ASIC cancels AFS licence of Pulse Markets for serious and sustained breaches of duties
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Broker DealerAll Firms
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
SEC Chair and Nobel prize-winning economist to headline ASIC innovation symposium
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FintechCrypto ExchangeAll Firms
Petra Capital fined for regulatory data reporting failures
Petra Capital fined for regulatory data reporting failures
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Broker Dealer
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
Director of Warwick Gold and Impact Gold disqualified from managing corporations for four years
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Asset ManagerWealth ManagerBank
ASIC approves Cboe’s listing application to bolster competition in public markets
ASIC approves Cboe’s listing application to bolster competition in public markets
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Broker DealerAll Firms
Victorian man sentenced in Cann Group insider trading case
Victorian man sentenced in Cann Group insider trading case
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BankBroker DealerAsset Manager
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
ASIC Annual Forum to focus on the challenges of a rapidly evolving economy as it returns to Melbourne in November
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BankAsset ManagerBroker Dealer
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
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BankBroker DealerAsset Manager
Cboe Global Markets decision
Cboe Global Markets decision
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Broker DealerAll Firms
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
Former CEO of AI marketing company Metigy pleads guilty to misleading investors and dishonestly using his position
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Asset ManagerWealth ManagerBroker Dealer
A roadmap for capital markets to grow our economy
A roadmap for capital markets to grow our economy
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Asset ManagerBroker DealerWealth Manager
ASIC sues suspended WA mineral exploration company AVZ Minerals and directors for disclosure failures
ASIC sues suspended WA mineral exploration company AVZ Minerals and directors for disclosure failures
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Broker DealerFintech
ASIC imposes additional conditions on Learn To Trade to address compliance failures
ASIC imposes additional conditions on Learn To Trade to address compliance failures
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Asset ManagerWealth ManagerBroker Dealer
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
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Broker DealerFintech
Defence systems manufacturer Electro Optic Systems Holdings admits to breaching continuous disclosure requirements
Defence systems manufacturer Electro Optic Systems Holdings admits to breaching continuous disclosure requirements
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All Firms
ASIC issues DDO stop order against FXCM for TMD deficiencies
ASIC issues DDO stop order against FXCM for TMD deficiencies
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Broker DealerFintech
Victorian man sentenced in market manipulation case
Victorian man sentenced in market manipulation case
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Broker DealerAll Firms
ASIC announces transformational package to safeguard Australia’s financial markets in response to ASX Inquiry interim report
ASIC announces transformational package to safeguard Australia’s financial markets in response to ASX Inquiry interim report
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BankBroker DealerAll Firms
CADB cancels registration of Sydney auditor for breaching duties across 10 ASX-listed audits
CADB cancels registration of Sydney auditor for breaching duties across 10 ASX-listed audits
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BankBroker Dealer
Macquarie Securities admits to misleading conduct and agrees to pay $35 million for systemic failures
Macquarie Securities admits to misleading conduct and agrees to pay $35 million for systemic failures
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Topics:
Broker Dealer
Market riggers sentenced in ASX ‘pump and dump’ case
Market riggers sentenced in ASX ‘pump and dump’ case
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Broker DealerCrypto Exchange
Pump and dump scammers put regulators on high alert
Pump and dump scammers put regulators on high alert
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Broker DealerFintechAll Firms
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
ASIC secures nearly $40 million in refunds to investors and drives change after CFD sector falls short
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Topics:
Broker DealerFintech
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case
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Topics:
Asset ManagerBroker Dealer