Reference profile
Primary areas of focus
- Financial services licensing
- Market conduct and disclosure
- Consumer credit
- Corporations and financial markets
Compliance Commons coverage
Latest ASIC briefings
Consultation · 4 Aug 2026ASIC is consulting on expanded relief from Corporations Act restrictions on advertising unquoted securities before prospectus lodgement. Prospective issuers could communicate more broadly if advertisements identify the issuer and seller, explain where and when the prospectus will be available, ensure the prospectus is available by listing, and direct investors to it as the primary source for investment decisions. Submissions close on 11 September 2026.
Read briefing →Enforcement · 3 Aug 2026ASIC has applied to the Federal Court for orders restraining Royce Capital Investments, Royce (Aust) Real Estate, Louie Kortesis and Paul Chiodo from promoting or accepting Australian investment in three offshore funds, or financial products generally. ASIC alleges that Royce Capital raised $1.536 million from five Australian SMSF investors without holding an Australian financial services licence and that promotional brochures included misleading representations about guaranteed or fixed annual returns of 13 per cent.
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