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Showing 1 - 10 of 740 results for "Misconduct"

Scams and governance failures dominate tip-offs to ASIC

RIDDHIMA TALWANI  |  THURSDAY, 3 SEP 2026
The corporate watchdog received around 9800 tip-offs of misconduct from the public in the first six months of the year. Retail investor issues and governance matters continued to dominate reports received by ASIC, which together accounted for over four ...

AFCA moves to reinstate APT Strategy, opens doors for victims

KARREN VERGARA  |  THURSDAY, 27 AUG 2026
... group, SOS Save Our Super, which has been helping many investors whose nest eggs have been put at risk by financial misconduct, providing information and practical resources on how to navigate the complaints process, as well as stay on top of regulatory ...

Federal Court confirms Netwealth's First Guardian failures

MATTHEW WAI  |  FRIDAY, 21 AUG 2026
... investment risks before members suffer harm." ASIC has 14 cases underway against 31 defendants and is investigating alleged misconduct relating to the Shield and First Guardian Master Funds. The First Guardian Diversified Class and Growth Class were ...

ASIC ramps up enforcement action

VINNY VUCAGO  |  MONDAY, 10 AUG 2026
... restriction of 87 individuals and businesses from providing financial services as the regulator intensifies action against misconduct across the financial sector. Between 1 July 2025 and 30 June 2026, ASIC also removed or restricted 27 individuals and ...

Coinbase launches perps for wholesale investors

MATTHEW WAI  |  FRIDAY, 7 AUG 2026
... including perps, will generally require an AFSL. "ASIC takes unlicensed conduct seriously and where it identifies serious misconduct it won't hesitate to take further action."

Former Berndale director jailed for $700k in misused funds

VINNY VUCAGO  |  THURSDAY, 6 AUG 2026
... taken money from at the expense of Berndale investors," Court said. "The sentence demonstrates the egregiousness of his misconduct." She added conduct of this nature "puts retail investors at serious risk and undermines trust in Australia's financial ...

Treasury opens consult on TPB sanctions framework

ELIZA BAVIN  |  TUESDAY, 4 AUG 2026
... and engage their services," Treasury said. "By requiring the Register to include information about tax practitioner misconduct members of the public are empowered to make better, more informed decisions about an entity's suitability to provide tax agent ...

ASIC wins court order to wind up Capital Guard

RIDDHIMA TALWANI  |  WEDNESDAY, 29 JUL 2026
... cancelled Capital Guard's Australian financial services licence on June 29 after finding it had engaged in serious misconduct, including promoting a fake Macquarie Bank bond, providing false documents to its auditor and making misleading statements on ...

ASIC boasts $830m record civil penalties

KARREN VERGARA  |  MONDAY, 20 JUL 2026
... record penalties and strong criminal outcomes, but enforcement is not just about punishment. It is about detecting misconduct sooner, preventing harm where we can, and securing remediation for those affected."

New 'high-risk' derivatives on the rise

MATTHEW WAI  |  MONDAY, 20 JUL 2026
... Australian financial services licence (AFSL). "ASIC takes unlicensed conduct seriously and where it identifies serious misconduct it won't hesitate to take further action." ASIC said it will continue to monitor developments in the digital assets space ...
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