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Macquarie Bank has been fined a record $4.995 million for failing to stop the placement of suspicious orders on the electricity futures market.
The director of collapsed investment firm Linchpin Capital has lost his challenge to a $150,000 penalty, with an appeals court dismissing his arguments as “carping criticism”.
A judge has tossed ASIC's case against REST over alleged misleading representations, finding the representations were statements of opinion reasonably held based on the advice of lawyers.
A former JPMorgan executive has pleaded guilty to fraud for allegedly misappropriating nearly $1 million from clients of his defunct companies.
Self-described property 'mogul' Sasha Hopkins has agreed to pay a $1.25 million fine and face a four-year disqualification in proceedings by the corporate regulator.
The corruption watchdog has issued a statement in response to reports suggesting ex-ASIC official Karen Chester faced an investigation, saying the deputy chair was never the subject of a probe.
A judge has ruled that two Deloitte partners can act as administrators for embattled wealth manager Keystone, replacing two voluntary administrators from KordaMentha, despite an alleged risk of conflict due to past work for the company.
The Australian Securities and Investments Commission has argued the relief sought in proceedings against the director of two Paladin Group units does not constitute a penalty, as it challenges his reliance on the privilege against self-exposure to penalty.
Wealth investment firm Ord Minnett has filed a cross-claim arguing a former executive who claims he was sacked for complaining about a $110,000 cut in his pay imposed after ASIC slapped the firm with a penalty for breaching market rules.