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
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Capital Markets & Trading in Australia
Capital Markets & Trading regulatory updates from Australia.
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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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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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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Asset ManagerBroker Dealer