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ASIC announces 2024 enforcement priorities

From ASIC - Australian Securities & Investments Commission

ASIC has announced its enforcement priorities for 2024[1], indicating its enforcement focus for the coming year and communicating its intent to industry and stakeholders. In 2024, two new priorities have

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22 Nov 2023

New Commissioners commence at ASIC

From ASIC - Australian Securities & Investments Commission

ASIC Chair Joe Longo has welcomed the commencement of new Commissioners Simone Constant and Alan Kirkland, who began their five-year terms yesterday. In August the Treasurer announced the appointment of

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21 Nov 2023

ASIC consults on ABA’s proposed changes to the banking code

From ASIC - Australian Securities & Investments Commission

ASIC has opened its consultation on the Australian Banking Association’s (ABA) proposed changes to its Banking Code of Practice (the Code). The Code contains a set of contractually enforceable standards

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20 Nov 2023

ASIC targets misconduct in superannuation sector

From ASIC - Australian Securities & Investments Commission

ASIC will look to take strong, targeted enforcement action in the coming months and into 2024, as part of its focus on member outcomes in the superannuation sector. The enforcement

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17 Nov 2023

ASIC calls for greater organisational vigilance to combat cyber threats

From ASIC - Australian Securities & Investments Commission

ASIC calls on organisations to prioritise their cyber security after its report into the cyber capability of corporate Australia identified significant gaps. The report summarises the results of ASIC’s recent

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14 Nov 2023

ASIC releases new alert list highlighting suspicious investment opportunities

From ASIC - Australian Securities & Investments Commission

ASIC has strengthened its scam prevention tools to support consumers with the publication of a new investor alert list[1]. Consumers can use this list to help inform themselves as to

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09 Nov 2023

ASIC releases second publication on insights from the reportable situations regime

From ASIC - Australian Securities & Investments Commission

ASIC has released its second publication on information lodged under the reportable situations regime. Over 16,000 reports were made to ASIC by financial services and credit licensees under the regime

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01 Nov 2023

ASIC launches consumer awareness campaign – ‘Don’t get burnt by hype’

From ASIC - Australian Securities & Investments Commission

ASIC has launched a consumer campaign to raise awareness of the risk associated with investment hype to coincide with the Australian release of Dumb Money, a new film about the

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27 Oct 2023

APRA and ASIC commence joint administration of the new Financial Accountability Regime

From ASIC - Australian Securities & Investments Commission

The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments Commission (ASIC) have published an information package to support the financial services industry in implementing the Financial Accountability

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04 Oct 2023

Licensing and professional registration activities – 2023 ASIC update

From ASIC - Australian Securities & Investments Commission

ASIC has released its annual licensing report today. Report 772 Licensing and professional registration activities: 2023 update (REP 772) outlines ASIC’s licensing and professional registration activities, discusses new and proposed changes

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25 Sep 2023

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CPD: Consumer protection brief – advisers at the frontline of preventing financial abuse
Introduction Financial Abuse is a major societal problem, regarded by many observers, and some states, as a form of domestic violence. Although recognised in Commonwealth law, in most Australian jurisdictions [...]
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CPD: Global dividends play an important role in portfolio income
With the next move in interest rates likely to be downward, the importance of dividend income will be reinforced. And while Australian investors love their income producing blue chips – [...]
CPD: Top 10 tips for providing ethical advice
The Australian Financial Complaints Authority (AFCA) does more than hear complaints; it also provides tools to help financial advisers meet their legal and ethical obligations throughout the advice process. This [...]
CPD: Deceased estates and tax
Despite a perception that the use of trusts is the domain of the extremely wealthy, trusts can be used by a broad spectrum of clients to achieve a range of [...]