REP 383 ASIC enforcement outcomes: July to December 2013
Released 31 January 2014.
This report outlines enforcement outcomes achieved by ASIC during the period 1 July 2013 to 31 December 2013 (the relevant period). The report identifies categories of gatekeeper against whom enforcement action was taken, and highlights examples of conduct targeted during this period.
Note: This report has been redacted in line with ASIC policy. See INFO 152 Public comment on ASIC's regulatory activities.