Following an ASIC investigation, four people have been criminally charged for their alleged involvement in a coordinated scheme to pump up shares in Australian stock

ASIC has secured travel restraint orders against Melbourne-based financial advisor Barry David King. The orders, which prevent Mr King from leaving or attempting to leave

ASIC continues to take enforcement action against company directors whose actions unfairly impact small businesses with the disqualification of seven directors in the 1 April

LCL (firm reference number (FRN) 146522) has entered creditors’ voluntary liquidation. LCL is a regulated firm that acted as the bond administrator and Individual Savings

The Federal Court has ordered American Express Australia Limited (Amex) to pay $8 million in penalties for breaching the design and distribution obligations (DDO) in

The Australian Securities and Investments Commission (ASIC) and the Office of the Australian Information Commissioner (OAIC) have signed a Memorandum of Understanding (MoU) for the

Under legislation adopted by Parliament, financial firms are required to do extra checks on so-called politically exposed persons (PEPs). This follows global standards set by

The European Securities and Markets Authority (ESMA), EU’s financial markets regulator and supervisor, published today its Follow-up Report to the Wirecard Fast Track Peer Review

ASIC has banned former directors and responsible managers of XTrade.AU Pty Ltd (XTrade), Mr Shay Zakhaim and Mr Anthony Anderson, from carrying on of a

ASIC has permanently banned former Sydney-based mortgage broker Aleksandra Frizzell following fraud convictions. Ms Frizzell was a mortgage broker, accredited with Beagle Finance Pty Ltd