Market Abuse / Surveillance regulatory updates from Australia.
ASIC secures record $830 million in civil penalties orders and $644 million back to Australians in 2025-26
ASIC warning: Pump and dump scammers intensify use of fake celebrity endorsements
NAB’s WealthHub fined over $1 million for reporting failures
Deutsche Bank pays $2 million penalty for systemic trade reporting failures
ASX ordered to pay $20.5 million penalty for misleading conduct relating to CHESS replacement project
ASIC pushes for coordinated action to strengthen competitiveness of Australian markets
ASX admits misleading conduct relating to CHESS replacement project
Palmer Leisure Coolum Pty Ltd pleads guilty to takeover law breaches
CDPP discontinues insider trading charges against Big Un former CFO Andrew Corner following hung jury
Fund manager Rodney Forrest re-sentenced to five years and three months’ jail following insider trading appeal
ASIC appeals Federal Court decision dismissing case against Nuix
Former NSW director Mark Barnes sentenced to imprisonment after dishonestly obtaining $2.4m by selling false invoices
Former Beacon Minerals project manager Alexander McCulloch pleads guilty to insider trading
Former Big Un CEO pleads guilty in insider trading case
ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
Supreme Court orders Macquarie Securities to pay $35 million penalty in short sale misreporting case
Petra Capital fined for regulatory data reporting failures
ASIC approves Cboe’s listing application to bolster competition in public markets
Victorian man sentenced in Cann Group insider trading case
ASIC’s annual report reveals strong growth in enforcement action and investigations and keen focus on strengthening markets
Cboe Global Markets decision
A roadmap for capital markets to grow our economy
ASIC sues former Electro Optic Systems Holdings director and CEO Ben Greene for breach of director’s duties
Defence systems manufacturer Electro Optic Systems Holdings admits to breaching continuous disclosure requirements
Victorian man sentenced in market manipulation case
Macquarie Securities admits to misleading conduct and agrees to pay $35 million for systemic failures
Market riggers sentenced in ASX ‘pump and dump’ case
Pump and dump scammers put regulators on high alert
Fund manager sentenced to 6 years’ jail in $3 million Platinum Asset Management insider trading case