Aggregated News From Investment Management Regulators

COVID-19 regulatory information

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In coordination with the Council of Financial Regulators (CFR), ASIC is focusing its regulatory efforts on challenges created by the COVID-19 pandemic.

Until at least 30 September 2020, the other matters that ASIC will afford priority are where there is the risk of significant consumer harm, serious breaches of the law, risks to market integrity and time-critical matters. ASIC will maintain its enforcement activities and continue to investigate and take action where the public interest warrants us to do so against any person or entity that breaks the law.

Key business as usual functions will be maintained including registry operations and services, receipt of whistleblower, breach and misconduct reports and general contact points for industry.

To assist users during the COVID-19 pandemic, we are publishing a weekly tracker of new and updated regulatory documents (including instruments related to COVID-19).

Read more about changes to ASIC’s regulatory work and priorities in response to COVID-19.

You can also read the latest COVID-19 news on our News Hub.

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Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia

Recent Articles

SFDR data collection exercise applicable to investment fund managers (IFMs) and institutions for occupational retirement provision (IORPs) on precontractual disclosures in relation to Regulation...

1. Context This communiqué follows up on the CSSF communiqué published on 27 July 2022 announcing the intention of the CSSF to launch a data collection exercise related...

Trends, Risks and Vulnerabilities (TRV) Report, No. 1, 2023

See the content published by the European Securities and Markets Authority (ESMA) here: Read more

Release Order issued in RC No. 6238 of 2023 drawn against Gopal D Mudavat (PAN: BNJPM0036K), Megha Mahesh Khandelwal (PAN: AACPK8139Q) and Mahesh Omprakash...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

Intimation of completion of RC No. 6238 of 2023 drawn against Gopal D Mudavat (PAN: BNJPM0036K), Megha Mahesh Khandelwal (PAN: AACPK8139Q) and Mahesh Omprakash...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

Cancellation of Recovery Certificate No. RC4750 of 2022 dated May 11, 2022 issued against Rajendra Kumar Agarwal HUF (PAN: AADHR7112R) in the matter of...

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here: Read more

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