Australian Securities and Investments Commission ASIC
Who they are
The ASIC is an independent statutory commission that administers a wide range of Australian corporations, securities, financial services and credit laws. It is a key component of the regulatory structure in Australia and has a number of functions ranging from investigation and surveillance to licensing, administrative, civil, and criminal enforcement activities.
What they do
Regulates companies and business names; regulates Australian financial services and credit providers; monitors financial markets and market infrastructures; enforces rules related to disclosure, corporate governance, director duties and market integrity; investigates misbehavior and scams; conducts civil, administrative and criminal enforcement actions; and gives financial information to consumers via Moneysmart.
Key laws & regulations issued
- Act Corporations Act 2001 2001
Enforcement by this regulator
| Date | Entity | Action | Penalty | Source |
|---|---|---|---|---|
| 3 Jul 2026 | ASX Limited (Market Operator) | Monetary Penalty | AUD 20,500,000≈ US$14,657,500 | official |
| 29 Jun 2026 | Mercer Superannuation (Australia) Limited (Superannuation Trustee) | Monetary Penalty | AUD 10,300,000≈ US$7,364,500 | official |
| 18 Jun 2026 | HSBC Bank Australia Limited (Major Bank) | Monetary Penalty | AUD 35,000,000≈ US$25,025,000 | official |
| 12 Jun 2026 | Union Standard International Group Pty Ltd; Maxi EFX Global AU (EuropeFX); BrightAU Capital (TradeFred) (CFD Issuer & Authorised Representatives) | Monetary Penalty | AUD 300,200,000≈ US$214,643,000 | official |
| 27 May 2026 | Westpac Banking Corporation (Major Bank) | Monetary Penalty | AUD 26,000,000≈ US$18,590,000 | official |
| 25 May 2026 | Walker Stores Pty Ltd (trading as Snaffle) in liquidation (Online Retailer / Credit Provider) | Monetary Penalty | AUD 33,500,000≈ US$23,952,500 | official |
| 16 Mar 2026 | Macquarie Securities (Australia) Limited (Market Participant) | Monetary Penalty | AUD 35,000,000≈ US$25,025,000 | official |
| 19 Dec 2025 | ANZ Banking Group Ltd (Banking) | Monetary Penalty | AUD 250,000,000 | official |
Latest news
No news tagged to this regulator yet.
Related regulators
Others in Australia supervising overlapping sectors.