Australian Securities and Investments Commission – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Fri, 02 Dec 2022 18:20:39 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 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 32 32 ASIC sanctions Vanguard for alleged greenwashing https://www.investmentexecutive.com/news/from-the-regulators/asic-sanctions-vanguard-for-alleged-greenwashing/ Fri, 02 Dec 2022 18:20:39 +0000 https://www.investmentexecutive.com/?p=456809 Underlying index failed to screen out tobacco sellers, regulator charged

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]]> Australian regulator extends binary options ban to 2031 https://www.investmentexecutive.com/news/from-the-regulators/australian-regulator-extends-binary-options-ban-to-2031/ Tue, 06 Sep 2022 17:21:42 +0000 https://www.investmentexecutive.com/?p=450765 A report found the ban is effective in preventing retail investors from losing money

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]]> Crypto and FOMO lure retail investors, ASIC finds https://www.investmentexecutive.com/news/from-the-regulators/crypto-and-fomo-lure-retail-investors-asic-finds/ Thu, 11 Aug 2022 18:37:24 +0000 https://www.investmentexecutive.com/?p=449493 Only equities outrank crypto in retail portfolios, Australian research says

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]]> The high price of industry misconduct https://www.investmentexecutive.com/news/from-the-regulators/the-high-price-of-industry-misconduct/ Mon, 14 Feb 2022 20:02:38 +0000 https://www.investmentexecutive.com/?p=439273 ASIC reports faulty advice compensation tops A$3 billion

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]]> Regulatory technology feasibility study launched https://www.investmentexecutive.com/news/from-the-regulators/regulatory-technology-feasibility-study-launched/ Fri, 21 Jan 2022 20:46:38 +0000 https://www.investmentexecutive.com/?p=437996 The Australian Securities and Investments Commission is looking at "regtech" technology solutions to monitor corporate disclosure

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]]> ASIC wraps industry inquiry with final lawsuit https://www.investmentexecutive.com/news/from-the-regulators/asic-wraps-industry-inquiry-with-final-lawsuit/ Thu, 09 Dec 2021 21:53:48 +0000 https://www.investmentexecutive.com/?p=435711 Case against ANZ marks end of Royal Commission investigations

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]]> Help investors beat FOMO https://www.investmentexecutive.com/news/help-investors-beat-fomo/ Wed, 24 Nov 2021 21:46:40 +0000 https://www.investmentexecutive.com/?p=434523 An OSC Dialogue panellist highlighted the need for investor coaching

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]]> ASIC urges crypto compliance https://www.investmentexecutive.com/news/from-the-regulators/asic-urges-crypto-compliance/ Fri, 29 Oct 2021 18:29:56 +0000 https://www.investmentexecutive.com/?p=432627 Regulator issues new guidance, licensing requirements for firms dealing in crypto investments

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]]> Pump-and-dump schemes are now openly orchestrated on social media https://www.investmentexecutive.com/news/from-the-regulators/pump-and-dump-schemes-are-now-openly-orchestrated-on-social-media/ Fri, 24 Sep 2021 17:57:19 +0000 https://www.investmentexecutive.com/?p=429636 Australian securities watchdog is calling on industry, investors to guard against online manipulations

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]]> ASIC aims to plug gaps in trading rules https://www.investmentexecutive.com/news/from-the-regulators/asic-aims-to-plug-gaps-in-trading-rules/ Wed, 25 Aug 2021 17:17:11 +0000 https://www.investmentexecutive.com/?p=427444 The regulator tightens "payment for order flow" prohibition

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