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 Wed, 12 Nov 2025 21:31:41 +0000 en-US hourly 1 https://wordpress.org/?v=6.8.3 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 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

The post ASIC targets private credit for enforcement appeared first on Investment Executive.

]]> 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

The post ASIC flags private credit fund risks appeared first on Investment Executive.

]]> 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

The post Aussie banking giant faces A$240 million penalties appeared first on Investment Executive.

]]> 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

The post ASIC touts growing global connections appeared first on Investment Executive.

]]> 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

The post ASIC seeks tougher guidance on conflicts appeared first on Investment Executive.

]]> ASIC launches inquiry into ASX https://www.investmentexecutive.com/news/from-the-regulators/asic-launches-inquiry-into-asx/ Mon, 16 Jun 2025 20:20:08 +0000 https://www.investmentexecutive.com/?p=512713 Review aims to restore trust in market infrastructure

The post ASIC launches inquiry into ASX appeared first on Investment Executive.

]]> Aussie pump and dumpers plead guilty https://www.investmentexecutive.com/news/from-the-regulators/aussie-pump-and-dumpers-plead-guilty/ Wed, 11 Jun 2025 12:50:14 +0000 https://www.investmentexecutive.com/?p=512281 Market manipulation planned on Telegram chats

The post Aussie pump and dumpers plead guilty appeared first on Investment Executive.

]]> Canadian regs join global finfluencer sweep https://www.investmentexecutive.com/news/from-the-regulators/canadian-regs-join-global-finfluencer-sweep/ Fri, 06 Jun 2025 19:49:27 +0000 https://www.investmentexecutive.com/?p=511983 Finfluencers warned, charged, over unregistered activity

The post Canadian regs join global finfluencer sweep appeared first on Investment Executive.

]]> Aussie regulators sound alarm on ASX https://www.investmentexecutive.com/news/from-the-regulators/aussie-regulators-sound-alarm-on-asx/ Mon, 31 Mar 2025 19:18:13 +0000 https://www.investmentexecutive.com/?p=505935 ASIC, RBA highlight operational risk worries at exchange

The post Aussie regulators sound alarm on ASX appeared first on Investment Executive.

]]> Aussie pension fund hit with greenwashing penalty https://www.investmentexecutive.com/news/from-the-regulators/aussie-pension-fund-hit-with-greenwashing-penalty/ Tue, 18 Mar 2025 21:04:43 +0000 https://www.investmentexecutive.com/?p=504809 Fund held securities, including oilsands companies, that it said were screened out

The post Aussie pension fund hit with greenwashing penalty appeared first on Investment Executive.

]]>