Australia ASIC Securities & Investments
Material regulatory developments from Australian Securities and Investments Commission are tracked daily by Cresthaven Analytics. Over the last 90 days, 20 material briefs relevant to professionals operating in the financial & capital markets sector have been published below. Each brief is sourced directly from the primary regulatory feed, summarized for institutional readers, and scored for materiality.
Recent material activity
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ASIC records 64 administrative actions against SMSF auditors in FY26, a year-on-year increase
ASIC took administrative action against 36 approved SMSF auditors between January and June 2026, bringing its FY26 total to 64 actions. The actions address independence failures, non-compliance with auditing standards, a…
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ASIC bans two former NextGen Financial Group directors for three years over repeated AFCA determination failures
ASIC has banned former NextGen Financial Group directors Nicholas Brookes and Vitorio Turco from controlling or performing functions in any financial services business for three years, effective 15 and 17 July 2026 respe…
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Australia ASIC Securities & Investments release pending Cresthaven Analytics full analysis: 26-159MR ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)
Australia ASIC Securities & Investments published a regulatory release titled '26-159MR ASIC cancels AFS licence of Australian Fiduciaries Limited (In Liquidation)'. Cresthaven Analytics' full intelligence brief is pendi…
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FSCP cancels financial adviser Peter Morrison-Dowd's registration and prohibits re-registration until September 2027
The Financial Services and Credit Panel has issued a registration prohibition order against financial adviser Peter Morrison-Dowd, effective 10 July 2026. The order prohibits Mr Morrison-Dowd from re-registering as a rel…
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Australia ASIC Securities & Investments release pending Cresthaven Analytics full analysis: 26-166MR Federal Court finds former Noumi CEO breached directors’ duties and financial reporting obligations
Australia ASIC Securities & Investments published a regulatory release titled '26-166MR Federal Court finds former Noumi CEO breached directors’ duties and financial reporting obligations'. Cresthaven Analytics' full int…
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ASIC bans Queensland property developer Jack Gould from financial services for four years over investor fund misuse
ASIC issued a banning order against Jack Gould, operator of Beanstalk Projects, effective 8 July 2026. The order follows findings that Gould misused investor funds and lacked the competence and qualifications required to…
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ASIC cancels registered agent status of Registry Australia Pty Ltd following earlier suspension for terms breaches
ASIC cancelled the registered agent status of Registry Australia Pty Ltd on 22 July 2026 for breaches of its Registered Agent Terms and Conditions. The cancellation follows a prior suspension and is affiliated with the r…
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ASIC suspends Australian Financial Services licence of Prime Value Asset Management Limited
ASIC suspended the Australian Financial Services licence held by Prime Value Asset Management Limited on July 17, 2026. The suspension removes Prime Value's authorisation to operate as a licensed financial services provi…
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ASIC cancels the Australian Financial Services licence of Australian Fiduciaries Limited following its entry into liquidation
ASIC cancelled the Australian Financial Services licence held by Australian Fiduciaries Limited, a firm in liquidation, via media release 26-159MR on July 17, 2026. The cancellation removes the firm's authorisation to pr…
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ASIC fines NAB subsidiary WealthHub Securities over $1 million for market transaction reporting failures
ASIC fined WealthHub Securities, a NAB subsidiary, over $1 million for failures in market transaction reporting obligations, as announced in a media release on July 14, 2026. This action confirms ASIC's continued enforce…
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ASIC initiates court-ordered wind-up proceedings against Capital Guard over investor fund concerns
ASIC filed proceedings on July 14, 2026 to wind up Capital Guard, citing concerns about the handling of investor funds. The action invokes ASIC's enforcement authority under the Corporations Act 2001 to seek court-ordere…
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Federal Court orders winding up of First Mutual Private Equity and its unregistered managed investment scheme on ASIC application
The Federal Court of Australia ordered the winding up of First Mutual Private Equity and an associated unregistered managed investment scheme on July 14, 2026, following an ASIC application. The action addresses operatio…
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ASIC suspends Australian financial services licence of Prime Value Asset Management Limited
ASIC suspended the Australian financial services licence held by Prime Value Asset Management Limited on July 17, 2026. The suspension removes Prime Value's authority to operate as a licensed financial services provider …
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Australia's Financial Services and Credit Panel issues registration prohibition order against financial adviser Peter Morrison-Dowd
On July 17, 2026, the Financial Services and Credit Panel issued a registration prohibition order against financial adviser Peter Morrison-Dowd, barring him from registration as a financial adviser under Australia's fina…
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ASIC bans former MWL financial adviser Christian Henry from financial services for three years
ASIC issued a banning order on July 14, 2026 against Christian Henry, a former financial adviser at MWL Financial Group. The order prohibits Henry from providing financial services or engaging in credit activities for th…
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ASIC disqualifies Queensland director David Fanning from managing corporations for five years
ASIC disqualified David Fanning, a Queensland-based director, from managing corporations for five years. The action, announced in media release 26-150MR on July 13, 2026, was taken under ASIC's administrative disqualific…
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ASIC fines NAB subsidiary WealthHub Securities over $1 million for market transaction reporting failures
ASIC fined NAB's WealthHub Securities over $1 million on July 14, 2026 for failures in market transaction reporting obligations. The action reflects ASIC's continued enforcement focus on accurate and timely regulatory re…
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Australian Federal Court orders wind-up of First Mutual Private Equity and its unregistered managed investment scheme on ASIC application
The Australian Federal Court has ordered the wind-up of First Mutual Private Equity and an associated unregistered managed investment scheme following ASIC's application. The order continues ASIC's enforcement pattern ag…
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ASIC initiates winding-up proceedings against Capital Guard over investor fund concerns
ASIC has applied to wind up Capital Guard, citing concerns about the safety of investor funds. The action reflects ASIC's continued use of winding-up as an enforcement tool against unlicensed or non-compliant financial o…
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ASIC disqualifies Queensland director David Fanning from managing corporations for five years
On July 13, 2026, ASIC barred David Fanning, a Queensland-based director, from managing corporations for five years. The action reflects ASIC's continued use of its director-disqualification powers under the corporations…
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