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Media releases and advisories



Journalists - Contact ASIC's media centre to register for email alerts, obtain executive bios or photos, view speeches and reports or submit general inquiries.

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Enforceable undertakings
Infringement notices
Key matters:



April
March
February
January


April 2014




Date

Number

Topic

17 Apr

14-085MR

Sonray director jailed following $46 million collapse

17 Apr

14-084MR

Asia region funds passport industry consultation paper

17 Apr

14-083MR

ASIC's OTC electricity derivatives report

16 Apr

14-082MR

Kleenmaid auditor suspended

16 Apr

14-081MR

NSW man pleads guilty to $260,000 fraud

16 Apr

14-080MR

CALDB suspends NSW joint liquidator for six months

15 Apr

14-079MR

Former CEO of IT companies charged

15 Apr

14-078MR

ASIC bans convicted former adviser from credit industry

11 Apr

14-077MR

Former Portfolio manager pleads guilty to misusing his position

11 Apr

14-076MR

ASIC obtains orders cancelling 15 million shares held in Northwest Resources Limited

11 Apr

14-075MR

Wealth Within Ltd pays $20,400 in penalties over misleading advertising

9 Apr

14-074MR

ASIC bankrupts 'perpetual engine' spruiker

9 Apr

14-073MR

AAT varies banning period of Edward Richard George

8 Apr

14-072MR

ASIC reports on supervision of registered liquidators for 2013

8 Apr

14-071MR

ASIC’s submission to the 2014 Financial System Inquiry

7 Apr

14-070MR

ASIC launches small business stakeholder survey

4 Apr

14-069MR

Hancock group of companies face court over late accounts

4 Apr

14-068MR

ASIC bans former Commonwealth Financial Planning adviser from financial services and credit activities

3 Apr

14-067MR

ASIC takes civil action against Mariner and its directors

2 Apr

14-066MR

ASIC response to James Wheeldon allegations

2 Apr

14-065MR

Small amount lender pays $30,600 penalty for misleading online advertisements

1 Apr

14-064MR

Former Kleenmaid directors ordered to stand trial

1 Apr

14-063MR

Three Sydney men convicted of insider trading



March 2014




Date

Number

Topic

28 Mar

14-062MR

ASIC bans bankrupt financial adviser

28 Mar

14-061MR

ASIC permanently bans former WA accountant

28 Mar

14-060MR

Former finance broker pleads guilty to fraud

27 Mar

14-059MR

Melbourne man pleads guilty to $1 million fraud

26 Mar

14-058MR

ASIC concerns about ANZ advertising

26 Mar

14-057MR

ASIC accepts enforceable undertaking from Franchelen Pty Ltd

25 Mar

14-056MR

ASIC permanently bans former authorised representative

20 Mar

14-055MR

ASIC reports on penalties for corporate wrongdoing

19 Mar

14-054MR

Hartleys Limited pays $35,000 infringement notice penalty

19 Mar

14-053MR

ASIC publishes seventh market supervision report

18 Mar

14-052MR

ASIC cancels Australian financial services licence of AIE Fiduciary Services Pty Ltd

18 Mar

14-051MR

SuperHelp Australia Pty Ltd pays infringement notice in relation to ‘FREE’ SMSF fund setup claims

17 Mar

14-050MR

Instinet Australia Pty Limited pays $50,000 infringement notice penalty

17 Mar

14-049MR

Commonwealth Securities Limited pays $55,000 infringement notice penalty

17 Mar

14-048MR

Two Melbourne companies fined for failing to lodge financial reports

17 Mar

14-047MR

ASIC information sheet on audit quality

14 Mar

14-046MR

Hotel entrepreneur jailed after Crown appeal

14 Mar

14-045MR

ASIC obtains urgent injunction freezing bank accounts of Sino Australia Oil & Gas Ltd

12 Mar

14-044MR

Statement on Financial Ombudsman Service review

12 Mar

14-043MR

ASIC bans former Westpac bank home finance manager in relation to false loan applications

11 Mar

14-042MR

Former BG executive’s insider trading conviction quashed

12 Mar

14-041MR

Smart people not so smart with their money

10 Mar

14-040MR

ASIC warns Australian borrowers about overseas lending scam

5 Mar

14-039MR

Former financial adviser convicted for dishonest conduct

3 Mar

14-038MR

ASIC facilitates internet securities offers


February 2014




Date

Number

Topic

27 Feb

14-037MR

Melbourne businessman to stand trial

25 Feb

14-036MR

ASIC accepts enforceable undertaking from online FX broker operating managed discretionary accounts

24 Feb

14-035MR

ASIC investigation leads to Cash Stop Financial Services Pty Ltd refunding more than 650 consumers

21 Feb

14-034MR

ASIC sale of shares in Avalon Minerals Limited

19 Feb

14-033MR

ASIC accepts enforceable undertaking from former director

18 Feb

14-032MR

ASIC information sheet on whistleblowers and whistleblower protection

18 Feb

14-031MR

Perth director pleads guilty

18 Feb

14-030MR

ASIC concerns about loan applications result in cancellation of mortgage broker’s licence

13 Feb

14-029MR

Decision in Walton liquidators’ independence hearing

13 Feb

14-028MR

ASIC accepts enforceable undertaking from Sydney-based auditors

12 Feb

14-027MR

ASIC cancels Capital Advisers' licence

10 Feb

14-026MR

ASIC extends shorter PDS regime

10 Feb

14-025MR

Diploma Group Ltd issued infringement notice for continuous disclosure breach

6 Feb

14-024MR

Court freezes assets and restrains travel following collapse of the Charterhill group

5 Feb

14-023MR

ASIC statement on Senate Inquiry

5 Feb

14-022MR

Finance broker pays $20,400 infringement notice penalty

4 Feb

14-021MR

Unlicensed rental companies enter into enforceable undertaking with ASIC

4 Feb

14-020MR

ASIC updates hybrid information for investors


January 2014




Date

Number

Topic




31 Jan

14-019MR

Pershing Securities Australia Pty Ltd pays $15,000 infringement notice penalty

31 Jan

14-018MR

ASIC enforcement report – July to December 2013

31 Jan

14-017MR

ASIC releases report on regulating complex products

29 Jan

14-016MR

New South Wales man charged with market manipulation

28 Jan

14-015MR

South Yarra accountant pleads guilty to ASIC charges

28 Jan

14-014MR

ASIC accepts enforceable undertaking from BNP Paribas

28 Jan

14-013MR

ASIC reports on decisions to cut red tape – June to September 2013

23 Jan

14-012MR

ASIC bans former Sydney mortgage broker and real estate agent

23 Jan

14-011MR

ASIC bans key person and responsible manager from Melbourne credit business

21 Jan

14-010MR

NSW man fronts court charged with $260,000 fraud

21 Jan

14-009MR

Citigroup Global Markets Australia Pty Limited pays $40,000 infringement notice penalty

20 Jan

14-008MR

Brisbane company fined for failing to lodge annual reports with ASIC

20 Jan

14-007MR

ASIC continues to focus on funeral insurance

14 Jan

14-006MR

ASIC Chairman releases IOSCO travel spending and 2014 travel agenda

9 Jan

14-005MR

ASIC accepts enforceable undertaking from Tru Blu

8 Jan

14-004MR

Presentation of financial statements by stapled entities

8 Jan

14-003MR

AAT affirms ASIC's banning of a Wollongong financial planner

7 Jan

14-002MR

ASIC issues class order providing relief for the mfund service

6 Jan

14-001MR

Media Super pays infringement notice in relation to superannuation advertising


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