civil penalties

Policy & Regulation

Advisers avoid ASIC enforcement spotlight

Financial advisers were notable by their absence from the Australian Securities and Investments Commission’s latest Enforcement Update....

Policy & Regulation

Royal Commission transgressors face stiffer penalties

The Australian Securities and Investments Commission has been handed tougher penalties with which to pursue people referred to it by the Royal Commission....

Policy & Regulation

Mixed reaction to RC

Industry superannuation funds have welcomed the Royal Commission’s final report, but financial planning groups are concerned about the outcome for their members....

Policy & Regulation

Frydenberg urges tougher ASIC approach

The Federal Treasurer has reinforced that he wants the Australian Securities and Investments Commission to take a tougher approach in pursuing litigation rather than nego...

Policy & Regulation

Govt moves to double financial services penalties

The Federal Government is moving to introduce legislation which will have the effect of doubling the criminal and civil penalties which can be imposed against both corpor...