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ASIC's 'why not litigate?' strategy alive and well, with multiple new proceedings commenced against major organisations (March 2021)

Regulatory Investigations and Financial Crime Blog

The Australian Securities and Investments Commission (ASIC) has announced a number of significant enforcement proceedings for breaches of the Corporations Act 2001 (Cth) (Corporations Act) and ASIC Act 2001 (Cth) (ASIC Act), including criminal charges laid against Alliance and AWP, and civil penalty proceedings against NAB, CommSec and AUSIEX, and REST.

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