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ASIC roundup: Court upholds A$250m penalty on ASX, Netwealth to pay over A$100m in compensation
The Australian Securities and Investments Commission’s latest actions and news, December 15 – 19, 2025.
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What international companies need to know about SEC cross-border fraud task force
The press announcement also warns that gatekeepers, particularly auditors and underwriters, will be under the SEC’s microscope.
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PCAOB issues guidance on evaluating reliability of electronic audit evidence
A new staff publication outlines how auditors should assess the trustworthiness of external information that companies provide in electronic form.
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ASIC roundup: Infringement notice for Nexia Perth Audit, and misleading ESG conduct
The Australian Securities and Investments Commission’s latest actions and news, September 29 – October 3, 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: Insider trading, and Mercer Super sued
The Australian Securities & Investments Commission’s latest actions and news, August 11 – 15, 2025.
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ASIC roundup: Cairns pawnbroker fined A$12,000, and uptake in SBRs
The Australian Securities & Investments Commission’s latest actions and news, June 23 – 27, 2025.
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What firms can do to prepare for CASS 15
The FCA is aiming to remove ambiguity around safeguarding processes and better align them with the Client Asset Sourcebook.