Aggregated News From Investment Management Regulators

COVID- 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.

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

ASIC has implemented measures to maintain operations and support and protect staff during this time. This includes implementing stringent hygiene and cleaning protocols, social distancing and flexible working arrangements.

Learn more about ASIC’s role

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia

Recent Articles

Elliott Investment, website operator of elliott-investment.com: suspected violation of the prospectus requirement

Offering securities to the public without an approved prospectus constitutes a violation of the prospectus requirement under Article 3(1) of the EU Prospectus Regulation – unless an exemption applies

Grand-ducal Regulation of 27 July 2022

Grand-ducal Regulation of 27 July 2022, amending Grand-ducal Regulation of 30 May 2018 on the protection of financial instruments and funds belonging to clients,...

MFSA Warning – 86FXTRADE & P240 Ltd – Unlicensed Exchange

The Malta Financial Services Authority (“MFSA”) has become aware of an entity operating under the names of 86FXTRADE and/or P240 Ltd (“the Entity”) which has an internet presence at https://www.

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