News
Statement pursuant to regulation 7.2A.15(4) of the Corporations Regulations 2001
Macquarie Securities (Australia) Limited (“Macquarie”) has paid a penalty of $505,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”).
The MDP had reasonable grounds to believe that Macquar...
ASIC Media Release
ASIC today released a new Regulatory Guide 260 Communicating findings from audit files to directors, audit committees or senior managers.
The guide provides transparency on our criteria and process for communicating financial reporting and audit findings from our review of audit files to directors and audit committees. ...
ASIC Media Release
The Japan Financial Services Agency ('JFSA') and Australian Securities and Investments Commission ('ASIC') today announced the completion of a framework for co-operation to promote innovation in financial services in Japan and Australia.
This Co-operation Framework recognises the global nature of innovation in financial...
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ASIC Media Relase
ASIC today released two consultation papers proposing guidance for public companies and intermediaries (i.e. crowd funding platform operators) to assist them in using the new crowd-sourced funding (CSF) regime commencing on 29 September 2017.
Under the CSF regime, eligible public companies will be able to make offers of ...
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ASIC Media Release
The Full Federal Court has held that it is not necessary for ASIC to prove fault according to Chapter 2 of the Criminal Code in civil proceedings relating to certain breaches of the Corporations Act.
In the matter of ASIC v Whitebox Trading Pty Limited & Anor (NSD383/2016) (Whitebox), ASIC asked the Federal Court to c...
FMA Media Release
The FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice generated by a computer programme or algorithm (robo-advice). This would be a temporary measure before new legislation is passed by Parliament.
The current law, passed in 2008, did not contemplate digital advice, mean...
ASIC Media Release
The Fair Work Ombudsman and the Australian Securities and Investment Commission (ASIC) will audit 50 businesses in the Melbourne CBD and inner suburbs in their second joint operation.
On 20 and 21 June, Fair Work inspectors will be checking time and wage records to ensure employers are paying their workers correctly and...
ASIC Media Release
ASIC has released its latest report outlining decisions on relief applications, highlighting ASIC’s efforts to reduce red-tape and achieve a practical, positive outcome for companies seeking some regulatory flexibility.
The granting of relief which has a net regulatory benefit, or which facilitates business or cuts red ...
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