BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
BPS Financial to pay $14 million in penalties over crypto Qoin Wallet
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Crypto ExchangeFintechPayment Provider
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Reporting & Disclosure in Australia
Reporting & Disclosure regulatory updates from Australia.
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
ASIC finds many auditors failing to demonstrate compliance with auditor independence obligations
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Asset ManagerWealth ManagerBank
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
ASIC sends clear message to super trustees amid glaring retirement communications gaps
ASIC sends clear message to super trustees amid glaring retirement communications gaps
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Asset ManagerWealth ManagerInsurance
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
Directors of Perth-based financial services company charged over five-year failure to lodge financial accounts with ASIC
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BankWealth ManagerAll Firms
Queensland director sentenced for making a false or misleading statement to ASIC
Queensland director sentenced for making a false or misleading statement to ASIC
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BankWealth ManagerAll Firms
RAMS penalised $20 million for widespread compliance failings regarding home loans
RAMS penalised $20 million for widespread compliance failings regarding home loans
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BankFintech
ASIC secures interim court orders barring Ferras Merhi from financial services activities
ASIC secures interim court orders barring Ferras Merhi from financial services activities
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Wealth ManagerAsset ManagerBank
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
ASIC bans former Crown Wealth Group director Brendan Rodwell for failing to report fees for no service conduct
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Wealth ManagerBank
ASIC statement - Clime entities
ASIC statement - Clime entities
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Asset ManagerWealth Manager
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
ASIC highlights financial reporting and audit findings for FY 2024–25 as part of expanded program of work
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Asset ManagerBankWealth Manager
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
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
Prime Super pays ASIC infringement notice alleging misleading statements about tobacco investments
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Asset ManagerWealth ManagerInsurance
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
HESTA pays ASIC infringement notices alleging misleading statements about carbon emissions
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Asset ManagerInsurance
ASIC drives car finance providers to improve consumer outcomes
ASIC drives car finance providers to improve consumer outcomes
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BankFintech
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 announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
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BankAsset ManagerInsurance
ASIC sues SQM Research alleging misleading reports related to Shield
ASIC sues SQM Research alleging misleading reports related to Shield
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Asset ManagerWealth Manager
Infrabuild companies pay infringement notices for failing to lodge financial reports on time
Infrabuild companies pay infringement notices for failing to lodge financial reports on time
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BankAsset ManagerWealth Manager
ASIC suspends AFSL of Centurion Capital Limited
ASIC suspends AFSL of Centurion Capital Limited
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Asset ManagerWealth Manager
Sheffield Insurance directors convicted and fined over a five-year financial reporting failure
Sheffield Insurance directors convicted and fined over a five-year financial reporting failure
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InsuranceAll Firms
ASIC cancels AFS licence of Ivy League Capital
ASIC cancels AFS licence of Ivy League Capital
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Asset ManagerWealth Manager
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
Cbus ordered to pay $23.5 million penalty for serious failures in processing members death benefits and insurance claims
Cbus ordered to pay $23.5 million penalty for serious failures in processing members death benefits and insurance claims
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Asset ManagerInsurance
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
Super trustees urged to accelerate progress on retirement support for members
Super trustees urged to accelerate progress on retirement support for members
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Asset ManagerWealth ManagerInsurance
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
ASIC calls for feedback on stamp duty and portfolio holdings disclosure requirements for super funds
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Asset ManagerWealth ManagerInsurance
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
ASIC calls on Australian companies to adopt better practices to protect whistleblowers
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BankWealth ManagerAll Firms
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
ASIC issues over $2.2 million in infringement notices to 12 large proprietary companies for alleged failure to lodge financial reports
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BankAsset ManagerWealth Manager
Netwealth admits to First Guardian failures and agrees to compensate affected members $100 million
Netwealth admits to First Guardian failures and agrees to compensate affected members $100 million
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Topics:
Asset ManagerWealth ManagerBank
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
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
Federal Court orders $925,000 in penalties against RM Capital and SMSF Club for conflicted remuneration breaches
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Asset ManagerWealth ManagerBank
Federal Court orders $250 million combined penalties against ANZ
Federal Court orders $250 million combined penalties against ANZ
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BankWealth ManagerAll Firms
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 sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
ASIC sues BDO Audit and its director Dean Just alleging materially false or misleading audit reports
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BankWealth Manager
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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Asset ManagerBroker Dealer
Media releases
Media releases
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BankWealth ManagerAsset Manager