ASIC launches small business strategy, helping to educate and protect small businesses
ASIC launches small business strategy, helping to educate and protect small businesses
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🇦🇺
ASIC Regulatory Updates
Australian Securities and Investments Commission
Australia's financial services regulator.
ASIC launches new digital resources for small business directors
ASIC launches new digital resources for small business directors
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ASIC proposes improved pre-IPO advertising flexibility and global alignment
ASIC proposes improved pre-IPO advertising flexibility and global alignment
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ASIC disqualifies Victorian director Antonio Torcasio for 5 years
ASIC disqualifies Victorian director Antonio Torcasio for 5 years
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ASIC cancels Australian credit licence of Zenoz Enterprises Pty Ltd
ASIC cancels Australian credit licence of Zenoz Enterprises Pty Ltd
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ASIC seeks orders against Royce Capital, Royce (Aust) Real Estate, Louie Kortesis and Paul Chiodo for alleged misconduct
ASIC seeks orders against Royce Capital, Royce (Aust) Real Estate, Louie Kortesis and Paul Chiodo for alleged misconduct
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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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Federal Court imposes permanent director’s disqualification order against Larry Dawson
Federal Court imposes permanent director’s disqualification order against Larry Dawson
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Hidden mortgage offset failures costing Australians millions in lost interest savings
Hidden mortgage offset failures costing Australians millions in lost interest savings
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Bank
Harvey Norman and Latitude ordered to pay combined $55 million penalties for misleading customers
Harvey Norman and Latitude ordered to pay combined $55 million penalties for misleading customers
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BankFintechPayment Provider
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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ASIC bans former NextGen Financial Group Pty Ltd directors Nicholas Brookes and Vitorio Turco for three years
ASIC bans former NextGen Financial Group Pty Ltd directors Nicholas Brookes and Vitorio Turco for three years
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Former construction industry director Vickie Vella sentenced after using $1.2 million in company money for personal use
Former construction industry director Vickie Vella sentenced after using $1.2 million in company money for personal use
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ASIC acts against 36 SMSF auditors, expanding its total enforcement actions this financial year
ASIC acts against 36 SMSF auditors, expanding its total enforcement actions this financial year
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Brendan Gunn sentenced in connection with suspected international cryptocurrency scam
Brendan Gunn sentenced in connection with suspected international cryptocurrency scam
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FintechBank
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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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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ASIC bans Queensland property developer Jack Gould from financial services for 4 years
ASIC bans Queensland property developer Jack Gould from financial services for 4 years
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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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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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Former MWL financial adviser Christian Henry banned for three years
Former MWL financial adviser Christian Henry banned for three years
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Wealth ManagerAsset Manager
ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)
ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)
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Financial Services and Credit Panel issues registration prohibition order against financial adviser Peter Morrison-Dowd
Financial Services and Credit Panel issues registration prohibition order against financial adviser Peter Morrison-Dowd
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Wealth Manager
ASIC suspends AFS licence of Prime Value Asset Management Limited
ASIC suspends AFS licence of Prime Value Asset Management Limited
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ASIC Statement of Intent
ASIC Statement of Intent
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NAB’s WealthHub fined over $1 million for reporting failures
NAB’s WealthHub fined over $1 million for reporting failures
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ASIC bans former MWL financial adviser Nicole Niu for 5 years
ASIC bans former MWL financial adviser Nicole Niu for 5 years
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Wealth Manager
Former insurance broker Craig Horsell's suspended sentence activated after further offending
Former insurance broker Craig Horsell's suspended sentence activated after further offending
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Insurance
ASIC moves to wind up Capital Guard over concerns about investor funds
ASIC moves to wind up Capital Guard over concerns about investor funds
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Federal Court orders First Mutual Private Equity and unregistered managed investment scheme to be wound up
Federal Court orders First Mutual Private Equity and unregistered managed investment scheme to be wound up
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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 disqualifies Queensland director David Fanning for 5 years
ASIC disqualifies Queensland director David Fanning for 5 years
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ASIC cancels CAIP Services' AFS licence for ceasing to carry on a financial services business
ASIC cancels CAIP Services' AFS licence for ceasing to carry on a financial services business
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Insurance
ASIC cancels AFS licence of CFD issuer Trive
ASIC cancels AFS licence of CFD issuer Trive
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ASIC review provides insights into voluntary administration and deed of company arrangement outcomes
ASIC review provides insights into voluntary administration and deed of company arrangement outcomes
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Former WA director Joanne Pellew convicted of Corporations Act offences following ASIC investigation
Former WA director Joanne Pellew convicted of Corporations Act offences following ASIC investigation
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Former bankrupt coconut water CEO acquitted of ASIC charge on appeal, withdraws conviction appeal on two other charges
Former bankrupt coconut water CEO acquitted of ASIC charge on appeal, withdraws conviction appeal on two other charges
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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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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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ASIC issues DDO stop orders against Stratfund’s Australian Fixed Income Fund
ASIC issues DDO stop orders against Stratfund’s Australian Fixed Income Fund
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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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NSW restaurateur Giuseppe DeFrancesco first person charged by ASIC with creditor defeating criminal offences
NSW restaurateur Giuseppe DeFrancesco first person charged by ASIC with creditor defeating criminal offences
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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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ASIC calls platform trustees to account over persistent failures to safeguard super savings
ASIC calls platform trustees to account over persistent failures to safeguard super savings
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ASIC secures $10.3 million in penalties against Mercer Super for systemic reporting failures
ASIC secures $10.3 million in penalties against Mercer Super for systemic reporting failures
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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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ASIC sues former Keystone Asset Management directors and compliance committee members over alleged Shield failures
ASIC sues former Keystone Asset Management directors and compliance committee members over alleged Shield failures
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Registered Company Auditor John Gordon Owenell hands in registration following independence concerns raised by ASIC
Registered Company Auditor John Gordon Owenell hands in registration following independence concerns raised by ASIC
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ASIC lifts bonnet on car finance costs and distribution concerns
ASIC lifts bonnet on car finance costs and distribution concerns
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BankFintechBroker Dealer
Property developer David McWilliams charged over $10 million fraud scheme
Property developer David McWilliams charged over $10 million fraud scheme
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ASIC bans Brett Anthony Newbound from providing financial services for 10 years and cancels licenses of Freedom Wealth Services Pty Ltd
ASIC bans Brett Anthony Newbound from providing financial services for 10 years and cancels licenses of Freedom Wealth Services Pty Ltd
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Full Federal Court dismisses ASIC appeal on HCF Life unfair contract term finding
Full Federal Court dismisses ASIC appeal on HCF Life unfair contract term finding
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Insurance
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 expands list of known entities involved in lead generation
ASIC expands list of known entities involved in lead generation
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$35 million penalty sought as HSBC admits to scam protection failures, and implements compensation plan
$35 million penalty sought as HSBC admits to scam protection failures, and implements compensation plan
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Bank
Federal Court orders $35 million penalty against HSBC for scam protection failures
Federal Court orders $35 million penalty against HSBC for scam protection failures
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Bank
ASIC helps strengthen the fight against imposter scams in financial services
ASIC helps strengthen the fight against imposter scams in financial services
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Former Star Entertainment executives Mathias Bekier and Paula Martin disqualified and ordered to pay penalties
Former Star Entertainment executives Mathias Bekier and Paula Martin disqualified and ordered to pay penalties
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ASIC successful in High Court Block Earner appeal
ASIC successful in High Court Block Earner appeal
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FintechCrypto Exchange
ASIC and APRA announce FAR changes to reduce administrative burden
ASIC and APRA announce FAR changes to reduce administrative burden
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ASX admits misleading conduct relating to CHESS replacement project
ASX admits misleading conduct relating to CHESS replacement project
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ASIC permanently bans Abdullah Popal from financial services and credit
ASIC permanently bans Abdullah Popal from financial services and credit
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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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ASIC disqualifies Shashikumari Agrawal, wife of convicted Mansa Group director, from managing corporations for 5 years
ASIC disqualifies Shashikumari Agrawal, wife of convicted Mansa Group director, from managing corporations for 5 years
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Super stragglers dampen progress on death benefits delivery for grieving Australians
Super stragglers dampen progress on death benefits delivery for grieving Australians
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Court finds south-west Sydney car dealership and former director engaged in unlicensed lending and charged unlawful fees
Court finds south-west Sydney car dealership and former director engaged in unlicensed lending and charged unlawful fees
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ASIC permanently bans former responsible manager Gerard Duffy from providing financial services
ASIC permanently bans former responsible manager Gerard Duffy from providing financial services
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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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ASIC cancels the registered agent status of Registration Pty Ltd and Biz Australia Pty Ltd
ASIC cancels the registered agent status of Registration Pty Ltd and Biz Australia Pty Ltd
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ASIC disqualifies NSW director Genna Raber for 5 years
ASIC disqualifies NSW director Genna Raber for 5 years
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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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NSW directors Adam Rana and Joseph Tarzia fined $10,000 each for failing to have director identification numbers
NSW directors Adam Rana and Joseph Tarzia fined $10,000 each for failing to have director identification numbers
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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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Federal Court orders Westpac to pay $26 million penalty for hardship failures
Federal Court orders Westpac to pay $26 million penalty for hardship failures
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Bank
ASIC cancels AFS licence of Global Pacific Solutions Group Pty Ltd
ASIC cancels AFS licence of Global Pacific Solutions Group Pty Ltd
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ASIC cancels AFS licence of Eden Asset Management Pty Ltd
ASIC cancels AFS licence of Eden Asset Management Pty Ltd
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Asset Manager
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 sues Equity Trustees alleging First Guardian onboarding failures
ASIC sues Equity Trustees alleging First Guardian onboarding failures
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Asset ManagerWealth Manager
Australia well-placed to unlock opportunities from innovation in the financial system
Australia well-placed to unlock opportunities from innovation in the financial system
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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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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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Federal Court orders $33.5 million penalty against Snaffle operator for inflating prices and overcharging on credit contracts
Federal Court orders $33.5 million penalty against Snaffle operator for inflating prices and overcharging on credit contracts
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FintechPayment Provider
ASIC appeals $7 million penalty in Cigno Australia, BSF Solutions, and directors’ case
ASIC appeals $7 million penalty in Cigno Australia, BSF Solutions, and directors’ case
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Registration prohibition order against former UGC financial adviser Stephen Rogers increased to three years following review
Registration prohibition order against former UGC financial adviser Stephen Rogers increased to three years following review
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Former financial services director Ashley Arandez sentenced to more than 5 years imprisonment
Former financial services director Ashley Arandez sentenced to more than 5 years imprisonment
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ASIC disqualifies NSW hospitality director Ken Sadamatsu for maximum 5 years
ASIC disqualifies NSW hospitality director Ken Sadamatsu for maximum 5 years
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ASIC calls for urgent cyber uplift as AI accelerates cyber threats
ASIC calls for urgent cyber uplift as AI accelerates cyber threats
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ASIC permanently bans Queensland property developer Trent Giumelli from financial services
ASIC permanently bans Queensland property developer Trent Giumelli from financial services
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Federal Court holds Telstra Super accountable for internal dispute resolution failures
Federal Court holds Telstra Super accountable for internal dispute resolution failures
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Canva Group pays $792,000 in infringement notices for failing to lodge financial reports on time
Canva Group pays $792,000 in infringement notices for failing to lodge financial reports on time
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Former NSW director Mark Barnes sentenced to imprisonment after dishonestly obtaining $2.4m by selling false invoices
Former NSW director Mark Barnes sentenced to imprisonment after dishonestly obtaining $2.4m by selling false invoices
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Former Berndale director Stavro D’Amore pleads guilty to dishonest conduct and misusing nearly $700,000 in company funds
Former Berndale director Stavro D’Amore pleads guilty to dishonest conduct and misusing nearly $700,000 in company funds
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ASIC disqualifies Gold Coast director David John Parker for maximum 5-year period
ASIC disqualifies Gold Coast director David John Parker for maximum 5-year period
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ASIC cancels AFS licence of ABL Funds Management Pty Ltd
ASIC cancels AFS licence of ABL Funds Management Pty Ltd
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ASIC discontinues winding up proceedings against Liberty Bell Bay
ASIC discontinues winding up proceedings against Liberty Bell Bay
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ASIC disqualifies NSW director Lambros Hilellis for 5 years
ASIC disqualifies NSW director Lambros Hilellis for 5 years
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Federal Court orders Money3 to pay $1.55 million penalty for responsible lending breaches
Federal Court orders Money3 to pay $1.55 million penalty for responsible lending breaches
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ASIC continues finfluencer crackdown alongside global regulators
ASIC continues finfluencer crackdown alongside global regulators
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Pure Foods Tasmania reduces $4.5 million in deferred tax assets following ASIC review
Pure Foods Tasmania reduces $4.5 million in deferred tax assets following ASIC review
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ASIC accepts cancellation of company auditor registration after raising independence concerns
ASIC accepts cancellation of company auditor registration after raising independence concerns
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Federal Court dismisses ASIC’s continuous disclosure case against Nuix
Federal Court dismisses ASIC’s continuous disclosure case against Nuix
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ASIC bans former MWL financial adviser John Morgan for 5 years
ASIC bans former MWL financial adviser John Morgan for 5 years
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Former Beacon Minerals project manager Alexander McCulloch pleads guilty to insider trading
Former Beacon Minerals project manager Alexander McCulloch pleads guilty to insider trading
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Cigno Australia and director Mark Swanepoel, BSF Solutions and director Brenton Harrison, to pay $7 million in penalties for Credit Act breaches
Cigno Australia and director Mark Swanepoel, BSF Solutions and director Brenton Harrison, to pay $7 million in penalties for Credit Act breaches
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FintechAll Firms
ASIC disqualifies Gold Coast director for maximum 5-year period
ASIC disqualifies Gold Coast director for maximum 5-year period
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BankWealth ManagerAll Firms
From anxiety to action: Helping Australians to plan for their financial future
From anxiety to action: Helping Australians to plan for their financial future
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Asset ManagerWealth ManagerBank
Viva Energy reassesses accounting approach after ASIC review, resulting in $25 million impairment
Viva Energy reassesses accounting approach after ASIC review, resulting in $25 million impairment
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BankAsset ManagerWealth Manager
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
ASIC permanently bans Yanhua Chen from the financial services industry
ASIC permanently bans Yanhua Chen from the financial services industry
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Asset ManagerWealth ManagerFintech
ASIC suspends AFS licence of Oscar Oliver Capital Ltd
ASIC suspends AFS licence of Oscar Oliver Capital Ltd
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Asset ManagerWealth Manager
Shane Monte Silva banned for five years over flawed Shield and First Guardian advice
Shane Monte Silva banned for five years over flawed Shield and First Guardian advice
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Wealth ManagerBank
ASIC bans former financial adviser Rhys Reilly for 10 years and suspends Conexus Group’s AFS licence
ASIC bans former financial adviser Rhys Reilly for 10 years and suspends Conexus Group’s AFS licence
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ASIC permanently bans former financial adviser and credit representative Aristotle Papapavlou
ASIC permanently bans former financial adviser and credit representative Aristotle Papapavlou
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Wealth ManagerAll Firms
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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ASIC ramps-up action to protect consumers from AI-powered online investment scams
ASIC ramps-up action to protect consumers from AI-powered online investment scams
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BankFintechWealth Manager
ASIC seeks appointment of receiver to investigate proposed Interprac sale
ASIC seeks appointment of receiver to investigate proposed Interprac sale
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Wealth ManagerAsset Manager
ASIC bans former ISG Financial Services Limited director Benjamin Godfrey for 10 years
ASIC bans former ISG Financial Services Limited director Benjamin Godfrey for 10 years
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BankWealth ManagerAll Firms
ASIC cancels AFS licence of The Silverfern Group Pty Ltd
ASIC cancels AFS licence of The Silverfern Group Pty Ltd
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Wealth Manager
ASIC bans former MWL financial services adviser David Lofthouse for 3 years
ASIC bans former MWL financial services adviser David Lofthouse for 3 years
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Wealth Manager
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
ASIC cancels AFS licence of Beacon Wealth Pty Ltd
ASIC cancels AFS licence of Beacon Wealth Pty Ltd
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Wealth Manager
ASIC disqualifies Ashod Balanian from managing corporations for maximum five-year period
ASIC disqualifies Ashod Balanian from managing corporations for maximum five-year period
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Crypto ExchangeFintech
Three public companies fined more than a million dollars for breaching financial reporting and company officer obligations
Three public companies fined more than a million dollars for breaching financial reporting and company officer obligations
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BankAsset ManagerWealth Manager
Mecca companies pay $594,000 in infringement notices for failing to lodge financial reports on time
Mecca companies pay $594,000 in infringement notices for failing to lodge financial reports on time
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FintechPayment Provider
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
Former Venture Egg, Reilly Financial and Interprac adviser Nicholas Hogan banned for four years
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Wealth Manager
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
ASIC applies to wind up 12 companies associated with NSW accountant and former solicitor Christopher Malcolm Edwards
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Asset ManagerWealth ManagerBank
Binance Australia Derivatives ordered to pay $10 million penalty for onboarding failures causing millions in client trading losses
Binance Australia Derivatives ordered to pay $10 million penalty for onboarding failures causing millions in client trading losses
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Crypto Exchange
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
Federal Court declares Macquarie contravened the Corporations Act in relation to Shield Master Fund
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Asset ManagerWealth ManagerBank
ASIC launches financial complaints data dashboard
ASIC launches financial complaints data dashboard
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BankWealth ManagerAll Firms
High Court finds in favour of ASIC on an appeal by Sunshine Loans
High Court finds in favour of ASIC on an appeal by Sunshine Loans
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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
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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Topics:
Broker DealerBank
ASIC disqualifies Victorian director for maximum 5-year period
ASIC disqualifies Victorian director for maximum 5-year period
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Topics:
BankWealth ManagerFintech
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
ASIC disqualifies Simon Raftery from managing corporations for two and a half years
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BankWealth ManagerAll Firms
Remedy Housing officers sentenced for dishonesty offences
Remedy Housing officers sentenced for dishonesty offences
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Topics:
BankFintech
Charges discontinued in Capital Mining Limited matter
Charges discontinued in Capital Mining Limited matter
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BankWealth ManagerAsset Manager
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
ASIC bans former MWL Financial Services Adviser Raluca Terheci for a period of 6 years
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Wealth Manager
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
Brisbane financial advisor and auditor, Sunny Prakash, charged with multiple counts of stealing and fraud
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Wealth Manager
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
ASIC bans former credit and financial services representative Neil Andrew Cato for 5 years
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BankFintech
Additional charges brought against financial services company director
Additional charges brought against financial services company director
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Wealth ManagerBankFintech
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
Federal Court finds two Star Entertainment senior executives breached duties, non-executive directors did not breach duties
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BankWealth ManagerAll Firms
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
ASIC files Court action to wind up Liberty Bell Bay after failures to lodge financial reports
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BankAsset ManagerWealth Manager
ASIC cancels Australian credit licence of John Adicho
ASIC cancels Australian credit licence of John Adicho
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ASIC disqualifies NSW director for the maximum period of five years
ASIC disqualifies NSW director for the maximum period of five years
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BankWealth ManagerAll Firms
ASIC sues Auto & General alleging policy discount misrepresentations made to millions of consumers in Budget Direct insurance ads
ASIC sues Auto & General alleging policy discount misrepresentations made to millions of consumers in Budget Direct insurance ads
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Insurance
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
ASIC disqualifies Victorian property development director Kylie Campbell for 5 years
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Asset ManagerWealth ManagerBank
ASIC cancels AFS licence of Private Wealth Pty Ltd
ASIC cancels AFS licence of Private Wealth Pty Ltd
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Wealth Manager
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
ASIC secures record $350 million in civil penalties and $583 million back to Australians in second half of 2025
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BankWealth ManagerAsset Manager
Misconduct reports to ASIC highlight spike in corporate governance issues
Misconduct reports to ASIC highlight spike in corporate governance issues
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ASIC commences new review of advice licensees that use lead generation services
ASIC commences new review of advice licensees that use lead generation services
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Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
Fundhost pays infringement notice for making misleading representations about Polen Capital Global Growth Fund
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ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
ASIC cancels AFS licence of Red Panda Future Wealth Pty Ltd
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ASIC cancels AFS licence of Superfast AM Pty Ltd
ASIC cancels AFS licence of Superfast AM Pty Ltd
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Charge against NSW director dismissed
Charge against NSW director dismissed
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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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ASIC imposes licence conditions on Corpay subsidiary following compliance failures
ASIC imposes licence conditions on Corpay subsidiary following compliance failures
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BankPayment Provider
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
ASIC bans former MWL Financial Services adviser Neil McPherson for 4 years
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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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Former director of NDIS provider charged with dishonesty offences
Former director of NDIS provider charged with dishonesty offences
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ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
ASIC action sees FIIG Securities ordered to pay $2.5 million over cyber security failures
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ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
ASIC cancels AFS and AC licences of Centre Capital Securities for failure to pay industry funding levies
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ASIC permanently bans former NSW financial adviser David Valvo
ASIC permanently bans former NSW financial adviser David Valvo
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ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
ASIC takes further steps to support Australians impacted by First Guardian and Shield collapse
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ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
ASIC urges super trustees to step up and address serious gaps in anti-scam and fraud protections
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Petra Capital fined for regulatory data reporting failures
Petra Capital fined for regulatory data reporting failures
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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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ASIC permanently bans Patrick Nong from the financial services industry
ASIC permanently bans Patrick Nong from the financial services industry
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Director of WA tiling business charged with making false statement
Director of WA tiling business charged with making false statement
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Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
Federal Court orders Australian Unity Funds Management to pay $7 million penalty for failing to confirm product suitability for investors
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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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Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
Brendan Gunn pleads guilty to dealing with money reasonably suspected of being proceeds of crime
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ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
ASIC acts against 28 SMSF auditors, flags increased scrutiny on in-house audit breaches
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ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
ASIC acts against ESG investment fund responsible entity alleging governance failures and misleading conduct
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ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
ASIC cancels Australian financial services licence of Velos Global Markets Pty Ltd
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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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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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Victorian man sentenced in Cann Group insider trading case
Victorian man sentenced in Cann Group insider trading case
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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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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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ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
ASIC bans former Lighthouse Partners director Timothy Archibald for 10 years for fees for no service conduct
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ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
ASIC cancels AFS licence of CPG Research & Advisory for ceasing business operations and unpaid industry funding levies
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ASIC flags risks in offshore outsourcing after review identifies governance gaps
ASIC flags risks in offshore outsourcing after review identifies governance gaps
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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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Federal Court orders remaining ALAMMC Group companies wound up
Federal Court orders remaining ALAMMC Group companies wound up
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Two former Statewide Super executives acquitted on charges of dishonesty offences
Two former Statewide Super executives acquitted on charges of dishonesty offences
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Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
Federal Court dismisses ASIC’s claims against former Freedom Insurance director and consultant
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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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ASIC halts offers of TruePillars Investment Trust
ASIC halts offers of TruePillars Investment Trust
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ASIC permanently bans Noel Northcott from the financial services industry
ASIC permanently bans Noel Northcott from the financial services industry
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Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
Collection agency company director loses appeal against conviction for obtaining a financial advantage by deception
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ASIC bans MWL financial adviser and investment committee member Wade Spooner for 8 years
ASIC bans MWL financial adviser and investment committee member Wade Spooner for 8 years
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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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ASIC bans former UGC and MWL financial adviser Jovan Videkanic for 7 years
ASIC bans former UGC and MWL financial adviser Jovan Videkanic for 7 years
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ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
ASIC cancels licence of Wealth Trail Pty Ltd (In Liquidation)
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Auditor of United Global Capital and related entities cancelled by Companies Auditors Disciplinary Board
Auditor of United Global Capital and related entities cancelled by Companies Auditors Disciplinary Board
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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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Updated ASIC guidance supports digital asset innovation and boosts investor protection
Updated ASIC guidance supports digital asset innovation and boosts investor protection
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ASIC secures interim travel restraint orders against Blockchain Global director Ryan Xu
ASIC secures interim travel restraint orders against Blockchain Global director Ryan Xu
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Crypto Exchange
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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Construction industry director charged with breach of director’s duties and providing false and misleading documents
Construction industry director charged with breach of director’s duties and providing false and misleading documents
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ASIC statement - Clime entities
ASIC statement - Clime entities
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Perth fraudster Chris Marco sentenced to 14 years imprisonment
Perth fraudster Chris Marco sentenced to 14 years imprisonment
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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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ASIC cancels AFS licence of Arrumar Private for licence failures
ASIC cancels AFS licence of Arrumar Private for licence failures
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ASIC cancels Australian credit licence of GS-APAC Pty Ltd
ASIC cancels Australian credit licence of GS-APAC Pty Ltd
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BankFintech
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
Charges against Dean Scook, former officer of Rock Mining Australia Limited, have been discontinued
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Freezing orders against Gregory Cotton and First Mutual Private Equity continue
Freezing orders against Gregory Cotton and First Mutual Private Equity continue
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Cboe Global Markets decision
Cboe Global Markets decision
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ASIC cancels AFS licence of Ricard Securities
ASIC cancels AFS licence of Ricard Securities
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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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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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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 review raises fresh concerns over risks to retirement savings from poor SMSF advice
ASIC review raises fresh concerns over risks to retirement savings from poor SMSF advice
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ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
ASIC successfully defends special leave application to the High Court by Cigno Australia director Mark Swanepoel and BSF Solutions director Brenton Harrison
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ASIC drives car finance providers to improve consumer outcomes
ASIC drives car finance providers to improve consumer outcomes
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BankFintech
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
Mansa Group director sentenced to imprisonment for more than four years for forgery and dishonesty offences
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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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ASIC disqualifies NSW hospitality director for five years
ASIC disqualifies NSW hospitality director for five years
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ASIC announces 2026 enforcement priorities
ASIC announces 2026 enforcement priorities
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BankAsset ManagerInsurance
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
ASIC takes action against MWL Financial Services, former director Nicholas Maikousis, and Imperial Capital Group Australia over alleged Shield advice failures
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ASIC sues SQM Research alleging misleading reports related to Shield
ASIC sues SQM Research alleging misleading reports related to Shield
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ASIC sues Interprac over alleged Shield and First Guardian licensee failures
ASIC sues Interprac over alleged Shield and First Guardian licensee failures
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ASIC suspends AFS licence of Surety Compliance Limited
ASIC suspends AFS licence of Surety Compliance Limited
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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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ASIC suspends AFSL of Centurion Capital Limited
ASIC suspends AFSL of Centurion Capital Limited
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QLD shadow director charged with $8m debt factoring fraud involving Bunnings Warehouse
QLD shadow director charged with $8m debt factoring fraud involving Bunnings Warehouse
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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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ASIC cancels AFS licence of Ivy League Capital
ASIC cancels AFS licence of Ivy League Capital
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Former director of private lending companies permanently banned over fraud conviction
Former director of private lending companies permanently banned over fraud conviction
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BankFintechAll Firms
ASIC issues DDO stop order against City Finance Lending Pty Ltd
ASIC issues DDO stop order against City Finance Lending Pty Ltd
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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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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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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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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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Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
Banned SMSF Auditor charged with continuing to act whilst disqualified and falsifying documents
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ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
ASIC takes contempt action against David McWilliams and Laura Fullarton over alleged freezing order breaches
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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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ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
ASIC suspends AFS licence of Focused Financial Advice following failure to replace key person
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Wealth Manager
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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ASIC issues DDO stop order against FXCM for TMD deficiencies
ASIC issues DDO stop order against FXCM for TMD deficiencies
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ASIC sues Diversa Trustees alleging failures relating to First Guardian
ASIC sues Diversa Trustees alleging failures relating to First Guardian
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ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
ASIC takes action against Adelaide-based Colin Oxlade and Spice Capital Partners over unlicensed financial services business
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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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ASIC suspends AFS licence of MW Planning Pty Ltd following failure to replace responsible manager
ASIC suspends AFS licence of MW Planning Pty Ltd following failure to replace responsible manager
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Wealth Manager
Former CEO of Bruck Textile Technologies has conviction overturned following appeal
Former CEO of Bruck Textile Technologies has conviction overturned following appeal
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Business lender and loan introducer together penalised $515,000 over credit law breaches
Business lender and loan introducer together penalised $515,000 over credit law breaches
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BankFintech
Victorian man sentenced in market manipulation case
Victorian man sentenced in market manipulation case
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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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ASIC renews guidance on managing conflicts of interest in financial services
ASIC renews guidance on managing conflicts of interest in financial services
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ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
ASIC bans Sydney mortgage broker for ten years and cancels her Australian credit licence
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All Firms
Federal Court appoints receivers over the assets of Gregory Raymond Cotton and First Mutual Private Equity Pty Ltd
Federal Court appoints receivers over the assets of Gregory Raymond Cotton and First Mutual Private Equity Pty Ltd
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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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ASIC cancels AFS licence of Rynco Pty Ltd
ASIC cancels AFS licence of Rynco Pty Ltd
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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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NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
NGS blockchain mining companies and unregistered scheme wound up, found operating without a licence
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Crypto ExchangeFintech
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
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
ASIC bans former MWL financial services adviser and former UGC Head of Advice Louis Van Coppenhagen for 7 years
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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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Federal Court orders $250 million combined penalties against ANZ
Federal Court orders $250 million combined penalties against ANZ
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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 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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ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
ASIC suspends Australian credit licence of Transitional Funding Pty Ltd
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All Firms
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
Directors of collapsed agri-businesses linked to corruption scandal disqualified for maximum 5-year period
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BankWealth ManagerAsset Manager
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
Richard Ernest Auricht’s liquidator registration cancellation overturned on appeal, substituted with five-year suspension
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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
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
Former financial advisor Anthony Torre sentenced to six years imprisonment for fraud and stealing
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Wealth ManagerBank
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
Former United Global Capital financial adviser Milutin Petrovic’s ban varied to three years
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Wealth ManagerAsset Manager
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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Media releases
Media releases
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