AUSTRALIAN SECURITIES AND INVESTMENTS COMMISSION

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    Securities / Derivatives

    Australia Eyes Data and Transparency Reforms in Private Markets

    By Manesh Samtani | 12/06/2025

    ASIC symposium highlighted the regulator’s increased focus on private markets, and the balance between access and investor protection.

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    Enforcement

    ASIC Secures Guilty Pleas in Telegram ‘Pump and Dump’ Case

    By Sanday Chongo Kabange | 11/06/2025

    Four individuals pleaded guilty in a case involving a pump and dump scheme using a public Telegram group.

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    Fintech / Regtech

    New Rules for BNPL Providers Take Effect in Australia

    By Manesh Samtani | 10/06/2025

    Australia starts enforcing stricter BNPL regulations, requiring providers to conduct credit checks before allowing customers to borrow money.

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    Market Infrastructure

    ASIC Streamlines IPO Process for Faster Listings in Australia

    By Sanday Chongo Kabange | 10/06/2025

    ASIC has adopted a new approach to cut processing times for prospectus reviews and reduce administrative burdens for IPO hopefuls.

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    AML / KYC

    Star Entertainment Pleads for Leniency in Money Laundering Case

    By Manesh Samtani | 10/06/2025

    Star Entertainment claims that its financial viability would be at risk if it were fined anything over A$100m, a quarter of what AUSTRAC is seeking.

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    AML / KYC

    Stakes High in AUSTRAC’s A$400m Case Against Star Casino

    By Nathan Lynch | 06/06/2025

    AUSTRAC’s A$400m Star casino case will test the boundaries of Australia’s AML/CTF regime and potentially reshape the financial crime compliance landscape.

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    Market Infrastructure

    ASIC Charts Course for Enhancing Australia’s Capital Markets

    By Thisanka Siripala | 04/06/2025

    ASIC outlines plans to reform public and private capital markets, seeking to address concerns around retail investor access and the cost of listing.

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    Market Infrastructure

    ASIC Prepares Capital Market Reform Roadmap

    By Thisanka Siripala | 04/06/2025

    The regulator distilled six capital market themes to guide its next steps, including streamlining IPO processes and the role of pension funds in shaping capital flows.

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    Enforcement

    ASIC Sues Westpac Unit for Systemic Misconduct 

    By Sanday Chongo Kabange | 04/06/2025

    ASIC commenced civil penalty proceedings against a subsidiary of Westpac for “systemic” misconduct in arranging home loans.

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    Enforcement

    ASIC Fines Australian Retirement Trust for Misleading Performance Data

    By Sanday Chongo Kabange | 03/06/2025

    Australian Retirement Trust was issued an infringement notice because it published “out-of-date” performance data on its website.

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