In the period 1 July to 30 September 2009, ASIC successfully prosecuted 95 company officers in relation to 178 contraventions of the Corporations ...

ASIC has decided to withdraw current class order relief that allows issuers of investment products to cite credit ratings without the consent of ...

ASIC has outlined changes to the regulation of credit rating agencies in Australia. From 1 January 2010, credit rating agencies will be required to ...

ASIC has released a market assessment report on the two licensed markets operated by NSX Ltd (NSXL): the National Stock Exchange of Australia Limited ...

Between June 2009 and September 2009, ASIC disqualified 15 directors from managing corporations for a combined total of over 50 years, following ...

Insurance broker Mr Michael Andrew Crawley of Yarraville, Victoria, has been permanently banned from providing financial services following an ...

ASIC has released an updated version of Regulatory Guide 31 Acquisitions by a broker acting as principal for client facilitation purposes (RG 31). ...

ASIC today released an updated version of Regulatory Guide 126 Compensation and insurance arrangements for AFS licensees (RG 126). ASIC has removed ...

Recent research has found that issuers using the trans-Tasman mutual recognition of securities offerings regime have saved on compliance costs for ...

ASIC has released its annual market assessment of BGC Partners (Australia) Pty Limited (BGCA). The report covers the period 1 September 2007 to 31 ...