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ASX Limited has paid a $1,050,000 fine after the corporate regulator pinged it with an infringement notice for failing to comply with market integrity rules -- a first against the market operator.
The Full Federal Court has found it was "abundantly clear" on the evidence before a trial judge that funeral expenses insurance provider ACBG misrepresented to Aboriginal customers that it was Aboriginal owned or managed, but found ASIC contributed to the error with its bad pleadings.
The Australian Securities and Investments Commission has won sequestration orders against Gold Coast 'finfluencer' Tyson Scholz after he failed to pay the regulator's costs in proceedings that resulted in him being permanently barred from carrying on a unlicensed financial services business.
The Australian Securities and Investments Commission has won a travel ban against a former director of collapsed cryptocurrency platform Blockchain Global while the regulator investigates suspected criminal offences.
Mining giant Clive Palmer has asked the High Court to hear his challenge to a court's finding that lawsuits he brought challenging two criminal cases against him over a takeover bid and payments to his political party were themselves an abuse of process and should be stayed.
In a case believed to be the first of its kind, the liquidators of boiler room trader Forex Capital Trading have sued ASIC, seeking to claw back over $20 million in fines and costs they says constituted unfair preference payments and should be distributed among the company’s out-of-pocket clients.
The Australian Securities and Investments Commission has taken two units of Paladin Group and one of its directors to court for allegedly raising more than $100 million from 258 investors without a financial services licence.
Noumi has argued a PricewaterhouseCoopers report commissioned by its lawyers at Ashurst is protected by legal professional privilege, after the food manufacturer admitted to overstating the value of its inventory and failing to properly disclose its financial position.
The former director of collapsed investment advisor Linchpin Capital hit hardest by a judgment disqualifying him and three other directors and levying a combined $390,000 in penalties has filed an appeal.
Digital currency exchange Block Earner needed a licence to offer its crypto-backed Earner product, a court has found in one of the first decisions on the application of financial services law to crypto investments.