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Everything from ASIC - Australian Securities & Investments Commission

Enhancing competition and innovation in Australia’s evolving capital markets

From ASIC - Australian Securities & Investments Commission

ASIC is taking significant steps to foster competition and innovation, creating more opportunities for companies and investors, and attracting more foreign capital to Australia. ASIC is in the final stages

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08 Aug 2025

ASIC seeks feedback on proposed updates to conflicts management guidance

From ASIC - Australian Securities & Investments Commission

ASIC has released proposed updates to its conflicts management guidance for financial services businesses. Regulatory Guide 181 Licensing: Managing conflicts of interest (RG 181) was last updated in August 2004. The proposed

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31 Jul 2025

ASIC sues Fortnum Private Wealth for allegedly failing to adequately manage cybersecurity risks

From ASIC - Australian Securities & Investments Commission

ASIC is suing financial advice business Fortnum Private Wealth Limited alleging it failed to properly manage and mitigate cybersecurity risks. In proceedings filed in the NSW Supreme Court, ASIC alleges

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23 Jul 2025

ASIC report suggests small business restructurings are keeping struggling companies afloat

From ASIC - Australian Securities & Investments Commission

A significant uptake in small business restructurings (SBRs) over the last few years, and other data, suggest the SBR regime is playing an important role in assisting struggling small businesses

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30 Jun 2025

ASIC warns industry and consumers of share sale fraud

From ASIC - Australian Securities & Investments Commission

Following a spike in reports of stolen shares due to identity theft and an industry review, ASIC has updated guidance for Australian financial services (AFS) licensees about how they can

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25 Jun 2025

ASIC launches Inquiry into ASX

From ASIC - Australian Securities & Investments Commission

ASIC has announced an Inquiry into Australian Securities Exchange (ASX) group, focusing on governance, capability and risk management frameworks and practices across the group. ASX plays a critical role in

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17 Jun 2025

ASIC cracks down on unlawful finfluencers in global push against misconduct

From ASIC - Australian Securities & Investments Commission

ASIC has issued warning notices to 18 social media ‘finfluencers’ suspected of unlawfully promoting high-risk financial products and providing unlicensed financial advice to Australians as part of a Global Week

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13 Jun 2025

ASIC clears path for faster IPOs

From ASIC - Australian Securities & Investments Commission

Entities listing on the ASX via the fast-track process now have access to a shorter initial public offering (IPO) timetable designed to reduce deal execution risk as part of a

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11 Jun 2025

The future of Australia’s public and private markets – ASIC shares industry feedback and next steps

From ASIC - Australian Securities & Investments Commission

ASIC has released more than 50 public submissions received in response to its discussion paper on the evolving dynamics between public and private markets, released in February 2025. The paper examined the

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05 Jun 2025

ASIC uncovers widespread compliance plan deficiencies in the managed investment industry

From ASIC - Australian Securities & Investments Commission

The responsible entities (REs) of a combined total of nearly $1 trillion in managed investments are failing to maintain adequate compliance plans, an ASIC review has found. ASIC assessed 50

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03 Jun 2025

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CPD: Growth holds, risks widen
Economic outlook: Structural forces, cyclical implications Longer-term secular forces are driving the six- to 12-month cyclical outlook. Our June 2026 Secular Outlook, “Rupture and Resilience[1],” explored the fraying of traditional [...]
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Picture this: an Enduring Power of Attorney (EPOA) has sat in a filing cabinet for years. Then a sudden health event means an adult daughter is called on to act [...]
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CPD: A practical system for building client confidence – Value of Advice (Part 1)
Introduction As the advice profession continues to evolve, so too do client expectations and perceptions of the value of advice. Perhaps nothing sums up this shift as perfectly as this [...]
CPD: When a little knowledge is dangerous – countering the financial ‘guidance’ your clients are getting from AI
Move over, Google The expression “a little knowledge is a dangerous thing” seems particularly appropriate to financial decisions, where the amounts at stake and the inherent complexity make the risk [...]