AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

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    Market Infrastructure

    ASIC Targets Pressure Sales Tactics in Financial Advice Industry

    By Sanday Chongo Kabange | 24/06/2025

    Commissioner Alan Kirkland said ASIC is concerned about high-pressure sales tactics used to lure people into unsuitable investments.

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    Enforcement

    ASIC Fines Equity Trustees for Misleading Investment Statements

    By Sanday Chongo Kabange | 22/06/2025

    ASIC fined Equity Trustees for allegedly making misleading statements about investments made by a green and sustainable bond fund.

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    Enforcement

    ASIC Targets Misconduct in Consumer Credit and Car Finance Sectors

    By Thisanka Siripala | 18/06/2025

    Commissioner Alan Kirkland said ASIC is prioritising consumer credit protection, focusing on predatory lending, hardship assistance, and debt management

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    Enforcement

    ASIC Rejects Licence Application by Debt Management Firm

    By Thisanka Siripala | 18/06/2025

    ASIC rejected a credit licence application from Bakken Holding, citing ongoing court proceedings over alleged misconduct by the firm.

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    ESG / Sustainability

    Australia Releases First National Sustainable Finance Taxonomy

    By Thisanka Siripala | 17/06/2025

    The taxonomy provides voluntary classification standards for green and transition investments across six high-emitting sectors.

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    Enforcement

    ASIC Launches Inquiry into “Serious” Capability Failures at ASX

    By Sanday Chongo Kabange | 16/06/2025

    ASIC will examine ASX’s governance capability and risk management frameworks following repeated and serious failures.

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    Securities / Derivatives

    The Path to Readiness for HKMA’s Derivatives Reporting Rewrite

    By Priya Kundamal | 16/06/2025

    HKMA’s new derivatives reporting rules require firms to prioritise testing and stakeholder engagement, writes DTCC’s Priya Kundamal.

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    Enforcement

    ASIC Bans ex-Financial Adviser for 10 Years Over Crypto Scam

    By Thisanka Siripala | 13/06/2025

    ASIC says Rogan misled clients into investing in a fraudulent cryptocurrency platform while posing as a licensed adviser.

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    Enforcement

    ASIC Sues Australian Unity for Failing to Screen Fund Investors

    By Thisanka Siripala | 13/06/2025

    ASIC alleges Australian Unity issued fund interests to retail investors without verifying if they were within the product’s defined target market.

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    Enforcement

    ASIC Issues Warning Notices to 18 Social Media Finfluencers

    By Thisanka Siripala | 13/06/2025

    ASIC said the “fincluencers” are suspected of offering unlicensed financial advice and warned it would “take action to enforce the law” if harm is identified.

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