ASIC — latest regulatory notices
Official notices published by the Australian Securities and Investments Commission. Titles are shown exactly as published; open an item to read the full notice on the regulator’s site.
Australian Securities and Investments Commission · Official website ↗
Shared notice
- ASIC seeks leave to appeal NSW Supreme Court decision against former Rex non-executive directors
ASIC is seeking leave to appeal the decision of the Supreme Court of NSW that former Regional Express Holdings Limited (Rex) non-executive directors The Hon John Sharp AM, Siddharth Khotkar and Lincoln Pan did not…
22 notices · Latest notice: 6 Nov 2026
- Sunshine Loans ordered to pay $5.5 million penalty for charging customers illegal fees
The Federal Court has ordered small amount lender Sunshine Loans Pty Ltd to pay $5.5 million in civil penalties for charging an illegal fee to thousands of consumers that was prohibited under the National Credit Code.
- ASIC issues over $4.3 million in infringement notices to 22 companies for alleged failure to lodge financial reports
ASIC has issued infringement notices to 22 large proprietary companies as part of ASIC’s ongoing surveillance and enforcement work focused on financial reporting compliance.
- Federal Court upholds $11 million in penalties and disqualification against iSignthis and former director and CEO Nickolas John Karantzis
ASIC has successfully defended the key liability, penalty and disqualification outcomes challenged by iSignthis Ltd (iSignthis), now known as Southern Cross Payments Ltd, and its former director and chief executive…
- CDPP discontinues aiding and abetting charge against Clive Palmer for PLC takeover law breach
The Office of the Director of Public Prosecutions (Cth) (CDPP) has discontinued proceedings against Clive Frederick Palmer for aiding and abetting Palmer Leisure Coolum Pty Ltd (PLC) to breach takeover law in 2012.
- Former Youpla Group CEO Bryn Jones and director Ronald Pattenden found to have breached their duties as directors
Former Youpla Group CEO Bryn Jones and director Ronald Pattenden have been found to have breached their duties as directors of Youpla Group companies.
- Former Youpla Group CEO Bryn Jones and director Ronald Pattenden found to have breached their duties as directors
Former Youpla Group CEO Bryn Jones and director Ronald Pattenden have been found to have breached their duties as directors of Youpla Group companies.
- ASIC consults on financial resources requirements for market operators
ASIC is consulting on proposals for clearer guidance on financial resources requirements for licensed market operators in Australia.
- ASIC sues Falcon Capital directors David Anderson and Simon Selimaj alleging First Guardian failures
Hundreds of millions of dollars of Australians' superannuation invested in the First Guardian Master Fund (First Guardian) were exposed to high-risk, undocumented, and conflicted investments, ASIC alleges in new…
- Palmer Leisure Coolum Pty Ltd convicted and fined $10,000 for breaching takeover law
Palmer Leisure Coolum Pty Ltd (PLC) has been sentenced for breaching takeover law arising from a proposed takeover of The President’s Club Ltd (TPC).
- ASIC halts offers in mortgage scheme managed by Murdoch Clarke Mortgage Management Ltd
ASIC has made an interim stop order on the product disclosure statement (PDS) issued by Murdoch Clarke Mortgage Management Ltd (Murdoch Clarke) offering interests in its registered managed investment scheme.
- ASIC seeks leave to appeal NSW Supreme Court decision against former Rex non-executive directors
ASIC is seeking leave to appeal the decision of the Supreme Court of NSW that former Regional Express Holdings Limited (Rex) non-executive directors The Hon John Sharp AM, Siddharth Khotkar and Lincoln Pan did not…
- Financial Services and Credit Panel cancels registration of NSW financial adviser Evan Byrnes for two and a half years
The Financial Services and Credit Panel (FSCP) has cancelled financial adviser Evan James Byrnes’ registration and prohibited him from being registered as a relevant provider for two and a half years.
- ASIC accepts cancellation of company auditor Benjamin Peters’ registration after audit surveillance
ASIC has accepted Benjamin Alfred Peters’ application for the cancellation of his registration as a company auditor after raising concerns about his role as lead auditor and engagement partner in the audit of a large…
- ASIC cancels Australian credit licence of Walker Stores Pty Ltd (in Liquidation) (Receivers and Managers Appointed)
ASIC has cancelled the Australian credit licence of Walker Stores Pty Ltd (in Liquidation) (Walker Stores) following two payments of compensation by the Compensation Scheme of Last Resort (CSLR).
- Visy and Pratt companies pay over $4.1 million in infringement notices for failing to lodge financial reports on time
Infringement notices totalling $4.158 million have been paid by 21 companies within the Visy/Pratt group for allegedly failing to lodge their financial reports for the year ended 30 June 2025 on time.
- ASIC cancels AFS licence of Kyle Clifford Frost
ASIC has cancelled the Australian financial services (AFS) licence of NSW financial adviser Kyle Clifford Frost (AFS licence number 543780). The licence cancellation took effect on 15 October 2026.
- Former Rex director Lim Kim Hai disqualified for 4 years and ordered to pay $800,000 penalty for directors’ duties and continuous disclosure contraventions
The NSW Supreme Court has disqualified former Rex chief executive officer and executive chair Lim Kim Hai from managing corporations for four years and ordered him to pay a pecuniary penalty of $800,000.
- Panacea Capital director Brian Creigh charged with criminal offences
Brian Jacques Creigh, of Morton Bay, Queensland, has been charged with carrying on a financial services business without an Australian Financial Services (AFS) licence and dealing with proceeds of crime.
- ASIC's annual report outlines strong enforcement and consumer outcomes
ASIC published its Annual Report for 2025-26 which showed ASIC secured court orders for civil penalties of $830 million and helped secure more than $580 million in repayments and refunds for consumers and investors…
- ASIC cancels Australian credit licence of MWL Financial Services Pty Ltd (In Liquidation)
ASIC has cancelled the Australian credit licence of MWL Financial Services Pty Ltd (In Liquidation) ACN 095 907 574 (MWL) following a payment by the Compensation Scheme of Last Resort (CSLR).
- ASIC bans former MWL financial adviser Pardeep Singh for four years
ASIC has banned former MWL Financial Services Pty Ltd (MWL) financial adviser Pardeep Singh (authorised representative number 001264972) from providing any financial services for four years.
- ASIC consults on implementation of new digital asset laws
ASIC has today commenced consultation on guidance and standards to implement new laws for digital asset platforms and tokenised custody platforms commencing on 8 April 2027.
About these notices
Every item comes from the regulator’s own website or feed and is checked several times a day. Titles are shown as the regulator published them; Invvex does not add findings. A notice is not a full list — always check the regulator’s public register before dealing with a firm.
- Capital Market Authority (UAE, formerly SCA)
- Dubai Financial Services Authority (DIFC)
- Financial Services Regulatory Authority (ADGM)
- Virtual Assets Regulatory Authority (Dubai)
- Financial Conduct Authority (UK)
- Cyprus Securities and Exchange Commission
- Australian Securities and Investments Commission
- U.S. Securities and Exchange Commission
- U.S. Commodity Futures Trading Commission
- National Futures Association (U.S.)
- European Securities and Markets Authority
- International Organization of Securities Commissions