ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
ASIC urges Gen Z to ‘sense-check’ money advice as social media fuels riskier financial decisions
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BankFintechCrypto Exchange
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Market Abuse / Surveillance in Australia
Market Abuse / Surveillance regulatory updates from Australia.
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
Petra Capital fined for regulatory data reporting failures
Petra Capital fined for regulatory data reporting failures
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Broker Dealer
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’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
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 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
Victorian man sentenced in market manipulation case
Victorian man sentenced in market manipulation case
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Broker DealerAll Firms
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
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