Aggregated News From Investment Management Regulators

ASIC enforcement update July to December

Report/Flag

Please complete the required fields.



ASIC has today released its enforcement update report for the period 1 July 2019 to 31 December 2019.

A copy of the report – outlining key actions taken over the past six months to enforce the law and support our enforcement objectives – can be found here.

The report covers ongoing areas of focus, including a foreword from ASIC Deputy Chair Daniel Crennan QC discussing ASIC’s Enforcement strategy and priorities for 2019 to 2021.

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia

Recent Articles

SEC Charges Barred Broker and His Company with Defrauding Older Americans

Defendant Promised Hefty Returns while Spending Investors’ Money on Luxury Goods Washington D.C., Aug.

CPMI and IOSCO publish a discussion paper on CCPs’ practices for addressing non-default losses

See PDF published by the International Organization of Securities Commissions (IOSCO) here: Read more

FCA encourages market participants to continue transition of LIBOR-linked bonds

This statement is for issuers and bondholders of outstanding LIBOR-linked bonds. The FCA is strongly encouraging issuers and bondholders of outstanding LIBOR-linked bonds to...

Get the latest from Regulatory.News in your inbox!

×