Enforcement

Episode 55: ASIC enforcement outcomes, January to June 2019

18 August 2019

In this episode with ASIC Deputy Chair Daniel Crennan QC, we explore ASIC’s Enforcement Update (January to June 2019), ASIC’s Office of Enforcement and work to strengthen ASIC’s enforcement effectiveness by accelerating court-based enforcement matters.

Episode 52: The regulatory toolkit

11 July 2019

In this episode with the Assistant Managing Director (Capital Markets) of the Monetary Authority of Singapore, Lee Boon Ngiap, we explore how regulators deploy their tools to detect, combat and deter misconduct in the financial system.

Episode 51: ASIC's case against former financial adviser James Gibbs

10 July 2019

On 10 July 2019, ASIC’s case against James Gibbs came to a close and he was sentenced to 10 years imprisonment, with a non-parole period of seven years to serve.

James Gibbs stole $4.88 million from his clients when he was acting as their financial adviser. His clients trusted him with their savings, with their money to be used for their retirements, and he devastatingly broke that trust by using that money for his own purposes.

In this episode, we hear from Dallas, one of Mr Gibbs' victims who helped build ASIC's case, as well as ASIC investigator, Chris Rowe.

Episode 50: Balancing consumer choice and protection

26 June 2019

In this interview with the Chair of the European Securities and Markets Authority Steven Maijoor, ASIC Commissioner Sean Hughes explores the balancing act between consumer choice, innovation and consumer protection and the use of product intervention powers by regulators around the world.

Episode 49: ASIC's case against hacker Steven Oakes

25 June 2019

A man sits outside an office building on his laptop. He keeps to himself and passers-by don’t really notice him. He has been outside this office building before, but he is not interested in going inside. Unknown to those around him, and the company operating inside the building, this man is inside their network, accessing confidential information and reading their emails. He’s after inside information.

Steven Oakes was sentenced on 25 June 2019 in the County Court at Melbourne to a total effective sentence of three years imprisonment, and ordered that he be released after serving 18 months of the term of imprisonment, on his own recognisance to be of good behaviour for 18 months, after pleading guilty to a total of 11 charges for insider trading, unauthorised access to data with the intention to commit a serious offence (insider trading) and the alteration of electronic devices required by ASIC.

In this episode, we hear from the investigators behind ASIC’s case - Peter Ridgley and Anthony Vardy.

Read ASIC’s media release (19-153MR) for more information.

Episode 46: ASIC enforcement outcomes, July to December 2018

9 April 2019

For more information on ASIC’s enforcement outcomes from July to December 2018, listen to Episode 46 of The ASIC Podcast with ASIC Commissioner Sean Hughes.

Download the report

Listen to Episode 46

Episode 45: Product intervention powers and design and distribution obligations

8 April 2019

ASIC has welcomed the passage of key financial services reforms contained in the Treasury Laws Amendment (Design and Distribution Obligations and Product Intervention Powers) legislation.

View ASIC media release (19-079MR) for more information.

Listen to Episode 45

Episode 44: Former financial adviser Gabriel Nakhl sentenced to 10 years imprisonment

26 March 2019

Mr Nakhl engaged in dishonest conduct and was found guilty in the District Court of New South Wales. The court set Mr Nakhl a non-parole period of 6 years.

View ASIC media release (19-055MR) for more information

Listen to Episode 44

Episode 29: ASIC’s Annual Report

26 October 2017

Former ASIC Chairman Greg Medcraft joins the podcast to discuss ASIC's Annual Report for 2016-17.

Listen to Episode 29

ASIC and whistleblowers

 

17 May 2016

Warren Day, Senior Executive Leader, Assessment and Intelligence talks about ASIC's role in relation to whisteblowers.

Read the transcript

Commissioner Cathie Armour on ASIC’s insider trading work

Asic Logo Special Podcast 60X40

2 May 2016

ASIC Commissioner Cathie Armour discusses ASIC's work in insider trading matters. Topics discussed include the damage done by insider trading, ASIC's surveillance and enforcement strategies and other related key areas of interest.

Listen now or download later - Commissioner Cathie Armour on ASIC’s insider trading work

Commissioner Greg Tanzer on ASIC’s latest enforcement report

Asic Logo Special Podcast 60X40

29 March 2016

Commissioner Greg Tanzer speaks about ASIC's enforcement report for July-December 2015.

He covers:

  • the key statistics from the report
  • major outcomes that support ASIC's priorities
  • ASIC's ongoing areas of focus
  • and much more.

Listen now or download later - Commissioner Greg Tanzer on ASIC’s latest enforcement report

Financial services enforcement

19 November 2015

Listen now - financial services enforcement

ASIC's latest enforcement results

15 December 2014

ASIC Commissioner Greg Tanzer summarises some of ASIC's recent enforcement results.

Tip-offs, information of concern and reports of misconduct

22 September 2013

Warren Day, Senior Executive Leader, Stakeholder Services and Victorian Regional Commissioner, talks about ASIC's approach to handling complaints, tip-offs and reports of misconduct.
This is the introduction to a series of video clip versions of ASIC information sheets covering a range of topics that commonly get raised with ASIC.


A lender of last resort

7 April 2014

ASIC's Warren Day responds to the Four Corners story that aired on 7 April 2014  'A Lender of Last Resort'

The ASIC Podcast

Innovation Hub Asic Website Rhn Icons Podcast Purple

Episode 56: ASIC’s case against former director Bradley Silver

6 September 2019

In this episode, we discuss ASIC’s case against Bradley Silver, a former director of a property development company who defrauded his clients of $4.7 million.

Listen now

Read the media release

For more episodes, visit The ASIC Podcast at Podbean.

Fintech innovations

31 July 2019

This podcast series from Toronto Centre gives regulatory and market perspectives on fintech innovations currently taking place in Australia.

Introducing the newest technology to capital markets - Oliver Harvey, ASIC and Katie McDermott, ASX provide regulator and industry perspectives.

To protect or to foster innovation: An inside look at a regulator's initiative to do both -  Mark Adams, ASIC

Listen to the podcasts on the Toronto Centre website

Last updated: 03/09/2019 12:25