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

SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures

The Securities and Exchange Commission today announced that 21 investment advisers and 6 broker-dealers have agreed to settle charges that they failed to timely file and deliver their client or custo

SEC Issues Substituted Compliance Determination for France

The Securities and Exchange Commission today announced the approval of a substituted compliance determination order with respect to security-based swap dealers and major security-based swap participa

BankDeFx LTD

Attention! The FMA warns investors against concluding transactions with: BankDeFx LTD https://bankdefx.com/ [email protected] [email protected] [email protected] [email protected] This provider is not authorised to carry out banking transactions in Austria that require a...

New appointments to the Executive Team

Published on: 23 July 2021 The Authority is pleased to announce 2 new appointments to the Executive Team.

Appointment of two new Board Members

The FSA is pleased to announce the appointment of two new members to the Board – Lucy McClements and Jo Hill. Lucy and Jo’s bios can be found at: https://www.iomfsa.

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