Latest Releases
Response to Feedback on REP 523 ASIC’s Innovation Hub and Our Approach to Regulatory Technology
ASIC today released its response to industry feedback on ASIC’s Innovation Hub and its approach to regulatory technology. In May ASIC released for consultation Report 523 ASIC’s Innovation Hub and our approach to regulatory technology (REP 523). ASIC sought feedback on: its overall approach to innovation setting up a new regtech liaison group its continued […]
Applications for Crowd-Funding Licences Open 29 September 2017
From 29 September 2017, the new crowd-sourced funding (CSF) regime will come into effect and ASIC will begin accepting licence applications from CSF intermediaries. Under the CSF regime, eligible public companies will be able to make offers of fully paid ordinary shares to a large number of investors via the online platform of a licensed […]
Merrill Lynch (Australia) Futures Pays $60,000 in Infringement Notice Penalty
Merrill Lynch (Australia) Futures Limited (“MLAF”) has paid a penalty of $60,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“the MDP”). The ASIC Market Integrity Rules (ASX 24 Market) 2010 requires market participants to demonstrate prudent risk management procedures in relation to their futures trading, including to set and […]
ASIC Releases Market Integrity Report
ASIC has today released its latest report on market integrity for the period 1 January to 30 June 2017. Read Report 542 Market integrity report: January to June 2017 The report covers ASIC’s work to help ensure Australia’s financial markets operate fairly and efficiently. Key outcomes during the six-month period include: The report looks at […]
ASIC’s Corporate Plan 2017–18 to 2020–21 and Focus for 2017–18
ASIC today published its Corporate Plan for 2017–18 to 2020–21. The Corporate Plan outlines ASIC’s vision which is to allow markets to fund the economy and, in turn, economic growth. In doing so, ASIC contributes to the financial wellbeing of all Australians. ASIC does this by: promoting investor and consumer trust and confidence; ensuring fair […]
