The Australian Securities and Investments Commission has shared information about how the adviser exam will be run in 2023 when it moves to being primarily new entrants....

ASIC has commenced civil penalty proceedings against fintech Block Earner as it alleges it operated an unregistered managed investment scheme....

The former chief executive of van Eyk Research has been sentenced following his conviction for dishonestly using his director position....

ASIC has accepted a court enforceable undertaking from financial advisory firm Lasarith Pty and its sole director for failure to provide Statements of Advice. ...

ASIC has placed an interim stop order on offers from Finnia Income Ltd in response to deficiencies in the issuer’s target market determination....

The corporate regulator has confirmed the number of breaches that were reported to it by another licensee following its exclusion from an earlier data report....

The Federal Court has found NAB engaged in unconscionable conduct by continuing to charge customers over $350,000 in periodic payment fees even though it was aware of the...

Having already enacted 11 interim stop orders regarding target market determinations, the industry should not expect ASIC to slow down and using templates could be one ca...

Assistant Treasurer and minister for financial services, Stephen Jones, has welcomed the Senate inquiry into ASIC investigation and enforcement....

The Government has delayed financial adviser registration from January until 1 July, 2023 with registration to open in Q2 2023....

The Senate Economics References committee has published the terms of reference for its inquiry into ASIC enforcement and welcomed submissions....

The former responsible manager of over the counter derivatives provider, Sirius Financial Markets, has been banned by ASIC for eight years....

Questions have been raised why reporting by other licensees was excluded from the regulator’s first breach publication and whether it is taking place....

There is over-reliance by licensees on ‘human error’ with over 5,000 reports stating that as a cause of a breach when the fault may lie in their systems and processes, ac...