ASIC applies to wind up Capital Guard over concerns about investor funds
ASIC has applied to the Supreme Court of New South Wales to wind up Capital Guard AU Pty Ltd on just and equitable grounds.
ASIC
Deutsche Bank pays $2M penalty for misreporting more than 260k OTC derivative transactions
Multinational investment bank Deutsche Bank Aktiengesellschaft has paid a penalty of $2 million for misreporting more than 260,000 over-the-counter (OTC) derivative transactions.
ASIC cancels license of CAIP Services
ASIC has cancelled the Australian financial services (AFS) licence of CAIP Services Pty Ltd effective from 8 July 2026.
ASIC cancels licence of CFD issuer Trive
ASIC has cancelled the Australian financial services (AFS) licence of contracts for difference (CFD) issuer Trive Financial Services Australia Pty Ltd.
Federal Court orders ASX to pay $20.5M penalty for misleading conduct relating to CHESS replacement project
The Federal Court has ordered ASX Limited to pay a $20.5 million penalty for its misleading statement about the progress of its CHESS replacement project.
ASIC issues interim stop orders against Stratfund’s Australian Fixed Income Fund
ASIC has made interim stop orders against two products offered under the Australian Fixed Income Fund (Fund) operated by Stratfund Limited.
ASIC cancels AFS licence of Capital Guard
ASIC has cancelled the Australian Financial Services (AFS) licence of Capital Guard AU Pty Ltd.
ASX agrees revised transformation plan with ASIC and RBA
ASX received confirmation from the Australian Securities and Investments Commission (ASIC) and the Reserve Bank of Australia (RBA) that they have agreed to the reset of the Accelerate Program.
ASIC takes former Keystone Asset Management directors to Court over alleged Shield failures
ASIC is suing Paul Chiodo, Ilya Frolov, and Mark Yorston, former directors of Keystone Asset Management Ltd.
ASIC extends no-action position for crypto firms to 30 September 2026
Digital asset firms providing financial services have an additional three months to apply for or vary an Australian Financial Services (AFS) licence.
