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16 June 2017 • By • 1 min read
The new industry funding model for ASIC has been passed into law and will commence on 1 July 2017. The ASIC Supervisory Cost Recovery Levy Bill ...
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UBS Securities Australia has paid $280,000 in penalties for trading infringements imposed by ASIC’s Markets Disciplinary Panel. ASIC has issued two ...
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The Hong Kong Securities and Futures Commission (SFC) has signed a co-operation agreement with ASIC on financial innovation. The agreement between ...
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ASIC’s recent surveillance of responsible entities has found a number of compliance areas in which they ‘fell short’ of their legal obligations
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Regulatory action against Macquarie Equities for “compliance deficiencies” commenced in 2014 is now “substantially complete”, with $24
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ASIC has fined an equities and derivatives managed discretionary account (MDA) provider for making false or misleading statements on its website
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ASIC has cancelled the Australian financial services licence (AFSL) of Sydney-based firm Investment Advisers Alliance. Investment Advisers ...
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ASIC deputy chairman Peter Kell has made the case for stronger banning powers, tougher supervision and higher penalties for wrong-doers
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The government’s major bank levy is likely to have “unintended and disproportionate” consequences on Macquarie's local earnings given the group’s ...
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The government’s proposal that APRA be given powers to monitor bank executive conduct should be extended to the superannuation and insurance sectors, ...
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