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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.
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.
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
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.
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.
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.
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.
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.
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.
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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