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Latest News
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Podcast: Adria Perez and Kate Seikaly on civil and criminal trade compliance, False Claims Act, and tariff origin checks
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GRIP Extra: FINRA appoints new Board of Governors members, DOJ pushes for Powell prosecution
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Podcast: Christopher Wimmer on cross-border investments, critical minerals, and compliance in Canada
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- Industry
ASIC Act s12DB
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ASIC takes three new actions on Shield and First Guardian Funds collapses
The actions feature new civil penalty proceedings, and seek leave to start proceedings against both companies and an individual.
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ASIC roundup: court action against RACQ, Macquarie admits to Shield contraventions
The Australian Securities and Investments Commission’s latest actions and news, September 22 – 26, 2025.
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ASIC roundup: SocGen fined A$3.88m, and a ‘cavalier attitude to compliance’
The Australian Securities & Investments Commission’s latest actions and news, September 1 – 5, 2025.
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ASIC roundup: Choosi sued for misleading customers, action against RAMS for systemic misconduct
The Australian Securities & Investments Commission’s latest actions and news, June 2 – 6, 2025.
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ASIC roundup: Consumers misled, and changes to Executive Leadership team
The Australian Securities & Investments Commission’s latest actions and news, October 7 – 18, 2024.
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ASIC: Insider trading, misleading statements, and bank fined A$820,000
The Australian Securities & Investments Commission’s latest actions and news, January 15-26, 2024.
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ASIC roundup: recordkeeping failures, and disqualified directors
The Australian Securities & Investments Commission’s latest actions and news, October 16 – 27, 2023.