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Search ResultsShowing 1 - 4 of 4 results for "Office of Enforcement"
Adviser bans fall
ELIZA BAVIN  |  THURSDAY, 30 APR 2020
... courts. "In the last Enforcement Update, published in August 2019, I outlined the establishment of ASIC's Office of Enforcement in July 2019," Crennan said. "I also set out its focus on deterrence, public denunciation and punishment, particularly in ...
ASIC prepares to be primary super conduct regulator
ELIZABETH MCARTHUR  |  THURSDAY, 12 SEP 2019
... regulator said it has dedicated resources to Royal Commission related referrals and matters within the Office of Enforcement. It specifically mentioned court action ASIC has taken against Select AFSL, Dover and NAB as a result of the Royal Commission. ...
ASIC accelerates enforcement
ELIZABETH MCARTHUR  |  MONDAY, 19 AUG 2019
... latest enforcement update, the regulator has made clear it is accelerating enforcement action now that the Office of Enforcement is open for business. From January to June 2019, 10 individuals were charged in criminal proceedings brought by ASIC, 70 ...
ASIC flags post-RC criminal prosecutions
JAMIE WILLIAMSON  |  WEDNESDAY, 20 FEB 2019
... with its new 'Why not litigate?' mantra in mind, with a taskforce now in place to establish a dedicated Office of Enforcement within ASIC. The move will see enforcement staff separated as much as possible from non-enforcement contact with regulated entities. ...
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