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Regulatory

ASIC strengthens codes of conduct guidance

KARREN VERGARA  |  WEDNESDAY, 3 DEC 2025
ASIC has refreshed its regulatory guidance on codes of conduct for the financial services sector, saying that they have an important role in how financial products and services are regulated.

ASIC suspends Newcastle advice firm's AFSL over missing key person

MATTHEW WAI  |  FRIDAY, 28 NOV 2025
ASIC has suspended the AFSL of Focused Financial Advice until December 19, which has operated for more than two years without a key person.

ASIC accuses ALAMMC Group directors of contempt

MATTHEW WAI  |  FRIDAY, 28 NOV 2025
ASIC said that a husband and wife who misappropriated investor funds from their property development scheme operating under ALAMMC Group are guilty of contempt for allegedly, among other things, transferring more than $500,000 from their frozen accounts.

ASIC invites feedback on disclosure requirements

ELIZA BAVIN  |  FRIDAY, 28 NOV 2025
ASIC is inviting the superannuation and investment management sectors to give feedback on changes to stamp duty and portfolio holdings disclosure requirements.

ASIC takes SMSF auditor to court for continuing work despite ban

RIDDHIMA TALWANI  |  THURSDAY, 27 NOV 2025
ASIC has charged Kristian John Convery for acting as an SMSF auditor even after being permanently disqualified under the Superannuation Industry (Supervision) Act (SIS Act) by the regulator last year.

APRA's fresh guardrails to impact property investors

ELIZA BAVIN  |  THURSDAY, 27 NOV 2025
APRA chair John Lonsdale said the new lending constraints will have a "binding effect" on property investors.

Australian Ethical Super handed extra licence conditions

JAMIE WILLIAMSON  |  THURSDAY, 27 NOV 2025
The prudential regulator has flagged concerns over the fund's investment management arrangements with its parent company and whether the fees involved are in members' best financial interests.

Government cracks down on financial abuse via coerced directorships

RIDDHIMA TALWANI  |  THURSDAY, 27 NOV 2025
The government has opened consultation to combat financial abuse in families perpetrated through coerced directorships.

ASIC to monitor union redundancy funds

ELIZA BAVIN  |  THURSDAY, 27 NOV 2025
ASIC will now have the power to regulate multi-billion-dollar redundancy funds, which the regulator had flagged are growing significantly.

FX coaching platform handed additional conditions over compliance failures

MATTHEW WAI  |  WEDNESDAY, 26 NOV 2025
ASIC has imposed additional licence conditions on Learn to Trade after it failed to comply with financial services laws over delayed lodgement, commanding it to appoint a consultant to review the business.