Australian Securities and Investments Commission | Investment Executive https://www.investmentexecutive.com/post_company/australian-securities-and-investments-commission/ Canada's news source for financial professionals Tue, 03 Feb 2026 19:24:10 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Australian Securities and Investments Commission | Investment Executive https://www.investmentexecutive.com/post_company/australian-securities-and-investments-commission/ 32 32 ESMA, ASIC face change at the top https://www.investmentexecutive.com/news/esma-asic-face-change-at-the-top/ Tue, 03 Feb 2026 19:24:10 +0000 https://www.investmentexecutive.com/?p=530964 Regulators in Europe, Australia welcoming new leaders

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]]> Aussie fund manager gets jail for insider trading https://www.investmentexecutive.com/news/aussie-fund-manager-gets-jail-for-insider-trading/ Fri, 23 Jan 2026 19:43:52 +0000 https://www.investmentexecutive.com/?p=530144 Inside info acquired by snooping on client's computer, ASIC alleged

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]]> ASIC review flags compliance issues in CFD sector https://www.investmentexecutive.com/news/asic-review-flags-compliance-issues-in-cfd-sector/ Tue, 20 Jan 2026 19:59:05 +0000 https://www.investmentexecutive.com/?p=529839 Aussie regulator reports A$40 million returned to investors as part of review

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]]> ASX put shareholders before market, investors: ASIC https://www.investmentexecutive.com/news/from-the-regulators/asx-put-shareholders-before-market-investors-asic/ Mon, 15 Dec 2025 21:40:44 +0000 https://www.investmentexecutive.com/?p=527757 Exchange agrees to reforms, capital hit to address concerns raised by review

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]]> CSA, CIRO launch scam website takedown https://www.investmentexecutive.com/news/from-the-regulators/csa-ciro-launch-scam-website-takedown/ Thu, 11 Dec 2025 19:23:58 +0000 https://www.investmentexecutive.com/?p=527553 Regulators attack scourge of online scams at the source

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]]> ASIC targets private credit for enforcement https://www.investmentexecutive.com/news/asic-targets-private-credit-for-enforcement/ Wed, 12 Nov 2025 21:31:41 +0000 https://www.investmentexecutive.com/?p=525283 Regulator details enforcement priorities for the year ahead

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]]> ASIC flags private credit fund risks https://www.investmentexecutive.com/news/from-the-regulators/asic-flags-private-credit-fund-risks/ Mon, 22 Sep 2025 19:19:38 +0000 https://www.investmentexecutive.com/?p=520831 Regulator calls for industry to address concerning practices in fast-growing sector

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]]> Aussie banking giant faces A$240 million penalties https://www.investmentexecutive.com/news/from-the-regulators/aussie-banking-giant-faces-a240-million-penalties/ Mon, 15 Sep 2025 19:53:47 +0000 https://www.investmentexecutive.com/?p=520199 Settlement to address series of retail, institutional compliance issues

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]]> ASIC touts growing global connections https://www.investmentexecutive.com/news/from-the-regulators/asic-touts-growing-global-connections/ Wed, 06 Aug 2025 18:35:26 +0000 https://www.investmentexecutive.com/?p=516958 Canadian exchanges among foreign venues expanding role in Aussie markets

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]]> ASIC seeks tougher guidance on conflicts https://www.investmentexecutive.com/news/from-the-regulators/asic-seeks-tougher-guidance-on-conflicts/ Thu, 31 Jul 2025 10:00:00 +0000 https://www.investmentexecutive.com/?p=516428 Regulator proposes first update to conflict compliance in over 20 years

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