Australian Securities and Investments Commission

113 results about this entity

Period: 22 Jan 2007 - 14 May 2025

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/regulation

Asic sues Macquarie for repeated misconduct

ASIC is suing Macquarie Securities (Australia) Limited (MSAL) alleging it engaged in misleading conduct by misreporting millions of short sales to the market operator for over 14 years.

/regulation

Asic acts against Macquarie Bank for repetaed compliance failures

ASIC has imposed additional conditions on Macquarie Bank Limited’s (Macquarie) Australian financial services licence after multiple and significant compliance failures – some going undetected for many years and one for a decade.

/regulation

Asic to launch new licencing portal

ASIC is launching a new digital portal for licensing on 5 May 2025 to apply for, vary and cancel an Australian financial services (AFS) licence, marking a significant step in its digital transformation.

/regulation

Asic consults on plans to increase visibility of firms' breach and complaints data

As part of its commitment to enhance transparency and accountability, ASIC is consulting on plans to publish two dashboards containing firm-level Reportable Situations (RS) and Internal Dispute Resolution (IDR) data in the second half of 2025.

/security

Asic winds up 95 sham investment scam companies

ASIC is warning consumers to remain vigilant when engaging with online investment websites and mobile applications after successfully applying to wind-up 95 companies, many of which ASIC believes may be associated with online investment and romance baiting scams, also known as ‘pig butchering’ scams.

Regulators haul ASX over the coals following batch settlement breakdown

/markets

Regulators haul ASX over the coals following batch settlement breakdown

The Reserve Bank of Australia (RBA) and the Australian Securities and Investments Commission (Asic) have expressed grave concerns about the management of operational risk at the country's leading stock exchange following a batch settlement failure in December last year.

/regulation

ASX responds to regulatory actions following Chess settlement glitch

ASX confirms it has received a joint letter from the Reserve Bank of Australia (RBA) and the Australian Securities and Investments Commission (ASIC) outlining regulatory action following the CHESS batch settlement incident on 20 December 2024.

/security

Asic calls out superannuation trustees for weak scan and fraud practices

ASIC has written to superannuation trustees urging them to strengthen anti-scam practices, or risk exposing members to harm.

Australia tells BNPL providers to apply for credit licences

/regulation

Australia tells BNPL providers to apply for credit licences

Buy now, pay later providers in Australia have been told to apply for credit licences ahead of new laws coming into effect in June.

/regulation

Asic sues Binance Australia Derivatives for consumer protection failures

More than 500 retail clients of Oztures Trading Pty Ltd, trading as Binance Australia Derivatives (Binance), were denied important consumer protections after being misclassified as wholesale clients, ASIC alleges in documents filed in the Federal Court.

Australian regulator sues HSBC for failing to protect customers from scams

/security

Australian regulator sues HSBC for failing to protect customers from scams

The Australian Securities and Investment Commission (Asic) is suing HSBC for failing to adequately protect customers scammed out of millions of dollars.

Australia's Asic highlights governance lag in AI adoption

/ai

Australia's Asic highlights governance lag in AI adoption

Australia's Securities and Investment Commission (Asic) is urging financial services and credit licensees to ensure their governance practices keep pace with their accelerating adoption of artificial intelligence.

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