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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
Australian Corporations Act s912A(1)
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ASIC roundup: Cbus ordered to pay A$23.5m, actions on EOS and its CEO
The Australian Securities and Investments Commission’s latest actions and news, November 24 – 28, 2025.
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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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Multiple failures in handling death benefit claims are uncovered by ASIC report
An ASIC investigation has resulted in a damning picture of customer service in Australia’s superannuation sector.
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ASIC roundup: Death benefit claims failures, market manipulation, and wash trading
The Australian Securities & Investments Commission’s latest actions and news, March 10 – 14, 2025.
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ASIC roundup: HSBC and Binance sued, more Courtenay House case developments
The Australian Securities & Investments Commission’s latest actions and news, December 16 – 24, 2024.
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ASIC roundup: Unlicensed services, bans, and lemon cars
The Australian Securities & Investments Commission’s latest actions and news, May 13 – 17, 2024.
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A$1.25m fine against AFSL ‘licensee for hire’ firm in Australia
Lanterne’s contraventions were found to be “serious and systemic”.