1 2 3 4 <!DOCTYPE html> 5 <html lang="en" dir="ltr"> 6 <head> 7 <!-- Google Tag Manager --> 8
8<script>
vendor: 405 bytes, lines 8-16
8 9 (function (w, d, s, l, i) { 10 w[l] = w[l] || []; w[l].push({ 11 'gtm.start': 12 new Date().getTime(), event: 'gtm.js' 13 }); var f = d.getElementsByTagName(s)[0], 14 j = d.createElement(s), dl = l != 'dataLayer' ? '&l=' + l : ''; j.async = true; j.src = 15 '//www.googletagmanager.com/gtm.js?id=' + i + dl; f.parentNode.insertBefore(j, f); 16 })(window, document, 'script', 'dataLayer', '
16GTM-KSDNRK
vendor: 6 bytes, lines 16-17
16'); 17
17</script>
17 18 <!-- End Google Tag Manager --> 19 <meta charset="utf-8"> 20 <link rel="preconnect" href="https://fonts.gstatic.com" /> 21 <link rel="preconnect" href="https://fonts.googleapis.com" /> 22 <link rel="canonical" href="https://www.asic.gov.au/about-asic/asic-investigations-and-enforcement/enforcement-activities" /> 23 <link property="AGLS_Metadata_Element_Set_v1-3" href="http://www.agls.gov.au/AGLS_Metadata_Element_Set_v1-3.html" /> 24 <meta http-equiv="content-type" content="text/html; charset=utf-8" /> 25 <meta name="viewport" content="width=device-width, initial-scale=1"> 26 <!-- social --> 27 <meta property="og:title" content="Enforcement activities | ASIC" /> 28 <meta property="og:type" content="website" /> 29 <meta property="og:url" content="https://www.asic.gov.au/" /> 30 <meta property="og:description" content="Fair, strong and efficient financial system for all Australians." /> 31 <meta property="og:image" content="https://download.asic.gov.au/asic-nextgen/img/image-social-asic.jpg" /> 32 <meta name="twitter:card" content="summary_large_image" /> 33 <meta name="twitter:site" content="@asicmedia" /> 34 <meta name="twitter:title" content="Enforcement activities | ASIC" /> 35 <meta name="twitter:description" content="Fair, strong and efficient financial system for all Australians." /> 36 <meta name="twitter:image" content="https://download.asic.gov.au/asic-nextgen/img/image-social-asic.jpg" /> 37 38 <meta name="description" content="Information relating to major investigations including updates and how to contact the investigation teams" /> 39 <meta name="dcterms.identifier" content="/about-asic/asic-investigations-and-enforcement/enforcement-activities" /> 40 <meta name="dcterms.title" content="Enforcement activities" /> 41 <meta name="dcterms.creator" content="" /> 42 <meta name="dcterms.subject" content="" /> 43 <meta name="dcterms.audience" content="" /> 44 <meta name="dcterms.publisher" content="" /> 45 <meta name="dcterms.date.created" content="2014-08-28" /> 46 <meta name="dcterms.date.modified" content="2026-09-23" /> 47 <meta name="dcterms.description" content="Information relating to major investigations including updates and how to contact the investigation teams" /> 48 <meta name="dcterms.type" content="web page" /> 49 <meta name="AGLSTERMS.Function" content="regulation" /> 50 <meta property="subject" content="" /> 51 <meta name="modified" content="23/09/2026 01:21 PM" /> 52 <meta name="displayDate" content="23 September 2026" /> 53 <meta name="documentNumber" content="" /> 54 55 <title>Enforcement activities | ASIC</title> 56 57 <link rel="shortcut icon" href="https://download.asic.gov.au/media/favicon.ico?v=1" type="image/x-icon" /> 58 <link rel="icon" href="https://download.asic.gov.au/media/favicon.ico?v=1" type="image/x-icon" /> 59
60<script src="https://download.asic.gov.au/asic-nga/js/asic-20260918.js"></script>
60 61<link rel="stylesheet" href="https://download.asic.gov.au/asic-nga/css/asic-20260819.css"> 62 <style type="text/css"> 63 64 </style> 65
65<script type="text/javascript"> 66 67 </script>
67 68 </head> 69 70 <body class=" banner-gradient web-page enforcement-activities"> 71 <!-- Google Tag Manager -->
vendor: 68 bytes, lines 71-73
71 72 <noscript> 73 <iframe src="//www.googletagmanager.com/ns.html?id=
73GTM-KSDNRK
vendor: 93 bytes, lines 73-76
73" 74 height="0" width="0" style="display:none;visibility:hidden"></iframe> 75 </noscript> 76
76<!-- End Google Tag Manager --> 77 <a href="#main-content" class="asic-skip-link">Skip to main content</a> 78 79 <div class="asic-root"> 80 <!-- Site header component goes here --> 81 <div> 82 <header class="asic-header"> 83 <div class="asic-container asic-header__inner"> 84 <button aria-label="open main menu" class="asic-mainnav__dialog-trigger"></button> 85 <a class="asic-header__logo" aria-label="Back to home page" href="/"> 86 <picture> 87 <source srcset="https://download.asic.gov.au/asic-nextgen/img/asic-logo-stacked.svg" media="(max-width:1299px)" /> 88 <img class="asic-main-logo" src=" https://download.asic.gov.au/asic-nextgen/img/asic-logo.svg" alt="asic logo"/> 89 </picture> 90 </a> 91 <div class="asic-mainnav asic-mainnav-divider"> 92 <div class="asic-mainnav__group"> 93 <nav class="asic-mainnav__primary" aria-label="main"> 94 <ul class="asic-mainnav__list"> 95 <li class="asic-mainnav__item asic-mainnav__item_divider"><a class="asic-mainnav__item-link" aria-current="false" href="/for-business-and-companies">For business and companies</a></li> 96 <li class="asic-mainnav__item asic-mainnav__item_divider"><a class="asic-mainnav__item-link" aria-current="false" href="/for-finance-professionals">For finance professionals</a></li> 97 <li class="asic-mainnav__item"><a class="asic-mainnav__item-link" aria-current="false" href="/regulatory-resources">Regulatory resources</a></li> 98 </ul> 99 </nav> 100 <div class="asic-mainnav__buttons"> 101 <button class="asic-button asic-button--primary asic-button--small" id="link-portals"><span class="asic-icon" data-symbol="account_circle"></span><span class="asic-button-portals-text">ASIC</span> portals</button> 102 <button id="btn-header-search" aria-label="Search"> 103 <svg xmlns="http://www.w3.org/2000/svg" xmlns:xlink="http://www.w3.org/1999/xlink" width="20" height="20" viewBox="0 0 20 20" fill="currentColor"><path d="M12.2 13.6a7 7 0 111.4-1.4l5.4 5.4-1.4 1.4zM3 8a5 5 0 1010 0A5 5 0 003 8z"></path></svg> 104 </button> 105 </div> 106 </div> 107</div> 108 </div> 109<!--noindex--> 110<!--noindex--> 111<div class="dialog-container" id="portals" aria-labelledby="portals-dialog-title" aria-hidden="true"> 112 <div class="dialog-overlay" data-a11y-dialog-hide></div> 113 <div class="dialog-content dialog-content-mobile" role="document"> 114 <button class="dialog-close" type="button" data-a11y-dialog-hide aria-label="Close dialog"> 115 <svg class="svg-icon" viewBox="0 0 20 20"><path fill="currentcolor" d="M15.898,4.045c-0.271-0.272-0.713-0.272-0.986,0l-4.71,4.711L5.493,4.045c-0.272-0.272-0.714-0.272-0.986,0s-0.272,0.714,0,0.986l4.709,4.711l-4.71,4.711c-0.272,0.271-0.272,0.713,0,0.986c0.136,0.136,0.314,0.203,0.492,0.203c0.179,0,0.357-0.067,0.493-0.203l4.711-4.711l4.71,4.711c0.137,0.136,0.314,0.203,0.494,0.203c0.178,0,0.355-0.067,0.492-0.203c0.273-0.273,0.273-0.715,0-0.986l-4.711-4.711l4.711-4.711C16.172,4.759,16.172,4.317,15.898,4.045z"></path></svg> 116 </button> 117 <div class="portals-dialog-header" > 118 <div id="portals-dialog-title" class="dialog-icon icon-asic-portals">ASIC portals</div> 119 </div> 120 121 <div class="asic-accordion"> 122 <div class="asic-smallbanner-title"> 123 <p class="asic-text-title asic-portal-mobile-smallbanner" >I am a</p> 124 </div> 125 126 <div class="asic-details-column"> 127 <details id="portals-business" class="asic-accordion__item" name="accordion-portal-group"> 128 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am a</span> Business name holder</summary> 129 130 <div class="asic-tabs__panel asic-content"> 131 <div class="asic-field"> 132 <label for="select-my-task-bn" class="asic-field__label">I want to</label> 133 <select id="select-my-task-bn" class="asic-select asic-select--fill select-portal" aria-required="true"> 134 <option data-open="content-bn-register" selected="" value="bn-register">Register a business name</option> 135 <option data-open="content-bn-renew" value="bn-renew">Renew my business name</option> 136 <option data-open="content-bn-update" value="bn-update">Update my details</option> 137 <option data-open="content-bn-transfer" value="bn-transfer">Cancel or transfer my business name</option> 138 <option data-open="content-bn-learn" value="bn-learn">Learn about ASIC's online services</option> 139 </select> 140 </div> 141 142 <div class="portal-tab-content" data-group="select-my-task-bn" id="content-bn-register"> 143 <p>Information and steps on how to register a business name</p> 144 <a class="asic-button asic-button--primary" href="/for-business-and-companies/business-names/register-a-business-name/">Register a business name</a> 145 </div> 146 147 <div class="portal-tab-content" data-group="select-my-task-bn" id="content-bn-renew" hidden=""> 148 <p>To renew a business name, you will need your account number or ABN handy.</p> 149 <a class="asic-button asic-button--primary" href="/for-business-and-companies/business-names/renew-a-business-name-registration/">Renewing your business name</a> 150 </div> 151 152 <div class="portal-tab-content" data-group="select-my-task-bn" id="content-bn-update" hidden=""> 153 <p>The ASIC Connect portal will allow you to:</p> 154 <ul> 155 <li>manage an existing business name</li> 156 <li>update your business name details</li> 157 </ul> 158 <div class="portal-button-collection"> 159 <div>
160 <span class="asic-text-body-xsmall">Already have an account?</span> 161 <a class="asic-button asic-button--primary" href="https://asicconnect.asic.gov.au/public/faces/landingPage"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 162 </div> 163 <div> 164 <span class="asic-text-body-xsmall">Need to create an account?</span> 165 <a class="asic-button asic-button--secondary" href="https://asicconnect.asic.gov.au/public/faces/GetStarted">Sign up</a> 166 </div> 167 </div> 168 </div> 169 170 <div class="portal-tab-content" data-group="select-my-task-bn" id="content-bn-transfer" hidden=""> 171 <p>The ASIC Connect portal will allow you to:</p> 172 <ul> 173 <li>manage an existing business name</li> 174 <li>update your business name details</li> 175 </ul> 176 <div class="portal-button-collection"> 177 <div> 178 <span class="asic-text-body-xsmall">Already have an account?</span> 179 <a class="asic-button asic-button--primary" href="https://asicconnect.asic.gov.au/public/faces/landingPage"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 180 </div> 181 <div> 182 <span class="asic-text-body-xsmall">Need to create an account?</span> 183 <a class="asic-button asic-button--secondary" href="https://asicconnect.asic.gov.au/public/faces/GetStarted">Sign up</a> 184 </div> 185 </div> 186 </div> 187 188 <div class="portal-tab-content" data-group="select-my-task-bn" id="content-bn-learn" hidden=""> 189 <p>Within online services for business name holders, you can: </p> 190 <ul> 191 <li>log in or sign up to ASIC's portals</li> 192 <li>learn about ASIC's online services and processes</li> 193 <li>access user guides</li> 194 <li>read FAQs.</li> 195 </ul> 196 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/business-name-holders">Business name holders</a> 197 </div> 198 </div> 199 </details> 200 201 202 <details id="portals-company" class="asic-accordion__item" name="accordion-portal-group"> 203 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am a</span> Company officeholder</summary> 204 <div class="asic-tabs__panel asic-content" > 205 <div class="asic-field"> 206 <label for="select-my-task-co" class="asic-field__label">I want to</label> 207 <select id="select-my-task-co" class="asic-select asic-select--fill select-portal" aria-required="true"> 208 <option data-open="content-co-register" selected="" value="co-register">Register a new company</option> 209 <option data-open="content-co-update" value="co-update">Manage my company details</option> 210 <option data-open="content-co-close" value="co-close">Download my annual review statement</option> 211 <option data-open="content-co-lodge" value="co-lodge">Lodge regulatory documents</option> 212 <option data-open="content-co-learn" value="co-learn">Learn about ASIC's online services</option> 213 </select> 214 </div> 215 216 <div class="portal-tab-content" data-group="select-my-task-co" id="content-co-register"> 217 <p>Information and steps on how to register a new business</p> 218 <a class="asic-button asic-button--primary" href="/for-business-and-companies/companies/register-a-company/">Register a company</a> 219 </div> 220 <div class="portal-tab-content" data-group="select-my-task-co" id="content-co-update" hidden=""> 221 <p>Manage your company details via the company officeholder portal: </p> 222 <ul> 223 <li>Update your company details</li> 224 <li>Voluntarily deregister your company in the Company officeholder portal.</li> 225 </ul> 226 <div class="portal-button-collection"> 227 <div>
228 <span class="asic-text-body-xsmall">Already have an account?</span> 229 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/004/compportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 230 </div> 231 <div> 232 <span class="asic-text-body-xsmall">Need to create an account?</span> 233 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 234 </div> 235 </div> 236 </div> 237 <div class="portal-tab-content" data-group="select-my-task-co" id="content-co-close" hidden=""> 238 <p>Download your company annual review statement from ASIC, which includes your annual invoice and payment details.</p> 239 <div class="portal-button-collection"> 240 <div> 241 <span class="asic-text-body-xsmall">Already have an account?</span> 242 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/004/compportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 243 </div> 244 <div> 245 <span class="asic-text-body-xsmall">Need to create an account?</span> 246 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 247 </div> 248 </div> 249 </div> 250 <div class="portal-tab-content" data-group="select-my-task-co" id="content-co-lodge" hidden=""> 251 <p>Lodge regulatory statements, documents and transactions in the Regulatory portal.</p> 252 <div class="portal-button-collection"> 253 <div> 254 <span class="asic-text-body-xsmall">Already have an account?</span> 255 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 256 </div> 257 <div> 258 <span class="asic-text-body-xsmall">Need to create an account?</span> 259 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 260 </div> 261 </div> 262 </div> 263 <div class="portal-tab-content" data-group="select-my-task-co" id="content-co-learn" hidden=""> 264 <p>Within online services for company officeholders, you can: </p> 265 <ul> 266 <li>log in or sign up to ASIC's portals</li> 267 <li>learn about ASIC's online services and processes</li> 268 <li>access user guides.</li> 269 </ul> 270 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/company-officeholders/">Company officeholders</a> 271 </div> 272 </div> 273 </details> 274 275 276 <details id="portals-registered" class="asic-accordion__item" name="accordion-portal-group"> 277 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am a</span> Registered agent and authorised lodger</summary> 278 <div class="asic-tabs__panel asic-content"> 279 <div class="asic-field"> 280 <label for="select-my-task-ra" class="asic-field__label">I want to</label> 281 <select id="select-my-task-ra" class="asic-select asic-select--fill select-portal" aria-required="true"> 282 <option data-open="content-ra-updateclient" selected="" value="ra-updateclient">Update my clients details</option> 283 <option data-open="content-ra-updateagent" value="ra-updateagent">Update my agent details</option> 284 <option data-open="content-ra-learn" value="ra-learn">Learn about ASIC's online services</option> 285 </select> 286 </div> 287 288 <div class="portal-tab-content" data-group="select-my-task-ra" id="content-ra-updateclient"> 289 <p>Update your client details via the Registered agent portal.</p> 290 <div class="portal-button-collection"> 291 <div>
292 <span class="asic-text-body-xsmall">Already have an account?</span> 293 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/001/regaportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 294 </div> 295 <div> 296 <span class="asic-text-body-xsmall">Need to create an account?</span> 297 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 298 </div> 299 </div> 300 </div> 301 <div class="portal-tab-content" data-group="select-my-task-ra" id="content-ra-updateagent" hidden=""> 302 <p>Information about how you can update and/or cancel your registered agent registration.</p> 303 <div class="portal-button-collection"> 304 <div> 305 <span class="asic-text-body-xsmall">Already have an account?</span> 306 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/001/regaportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 307 </div> 308 <div> 309 <span class="asic-text-body-xsmall">Need to create an account?</span> 310 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 311 </div> 312 </div> 313 </div> 314 <div class="portal-tab-content" data-group="select-my-task-ra" id="content-ra-learn" hidden=""> 315 <p>Within online services for registered agents and authorised lodgers, you can: </p> 316 <ul> 317 <li>log in or sign up to ASIC's portals</li> 318 <li>learn about ASIC's online services and processes</li> 319 <li>access user guides</li> 320 <li>read FAQs.</li> 321 </ul> 322 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/registered-agents/">Registered agents</a> 323 </div> 324 </div> 325 </details> 326 327 328 <details id="portals-afs" class="asic-accordion__item" name="accordion-portal-group"> 329 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am an</span> AFS Licensee and AFS representative</summary> 330 <div class="asic-tabs__panel asic-content"> 331 <div class="asic-field"> 332 <label for="select-my-task-afs" class="asic-field__label">I want to</label> 333 <select id="select-my-task-afs" class="asic-select asic-select--fill select-portal" aria-required="true"> 334 <option data-open="content-afs-apply" selected="" value="afs-apply">Apply for and vary an AFS licence</option> 335 <option data-open="content-afs-update" value="afs-update">Update licence details and submit documents</option> 336 <option data-open="content-afs-appoint" value="afs-appoint">Appoint and update representative's details</option> 337 <option data-open="content-afs-lodge" value="afs-lodge">Lodge regulatory transactions</option> 338 <option data-open="content-afs-mis" value="afs-mis">Register a managed investment scheme</option> 339 <option data-open="content-afs-pds" value="afs-pds">Lodge a PDS in-use notice</option> 340 <option data-open="content-afs-learn" value="afs-learn">Learn about ASIC's online services</option> 341 </select> 342 </div> 343 344 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-apply"> 345 <p>Information and steps on how to apply for an Australian financial services (AFS) licence.</p> 346 <a class="asic-button asic-button--primary asic-button--allow-wrap asic-button--small" href="/for-finance-professionals/afs-lice
346nsees/applying-for-and-managing-an-afs-licence/">Applying for and managing an AFS licence</a> 347 </div> 348 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-update" hidden=""> 349 <p>Update your AFS licence details and lodge financial document via the Regulatory portal.</p><a class="asic-button asic-button--primary" href="/for-finance-professionals/afs-licensees/changing-details-and-lodging-afs-forms/afs-licensees-changing-your-licence-details-through-the-regulatory-portal/">Changing your licence details through the Regulatory Portal</a> 350 <div class="portal-button-collection"> 351 <div> 352 <span class="asic-text-body-xsmall">Already have an account?</span> 353 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 354 </div> 355 <div> 356 <span class="asic-text-body-xsmall">Need to create an account?</span> 357 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 358 </div> 359 360 </div> 361 </div> 362 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-appoint" hidden=""> 363 <p>Log in to ASIC Connect to appoint and update AFS representative's details.</p> 364 <div> 365 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/financial-advisers-and-authorised-representatives/">Financial advisers and authorised representatives</a> 366 </div> 367 368 <div class="portal-button-collection"> 369 <div> 370 <span class="asic-text-body-xsmall">Already have an account?</span> 371 <a class="asic-button asic-button--primary" href="https://asicconnect.asic.gov.au/public/faces/landingPage.jsp"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 372 </div> 373 <div> 374 <span class="asic-text-body-xsmall">Need to create an account?</span> 375 <a class="asic-button asic-button--secondary" href="https://asicconnect.asic.gov.au/public/faces/GetStarted">Sign up</a> 376 </div> 377 </div> 378 </div> 379 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-lodge" hidden=""> 380 <p>Lodge regulatory documents and transaction in the ASIC Regulatory Portal</p> 381 <div class="portal-button-collection"> 382 <div> 383 <span class="asic-text-body-xsmall">Already have an account?</span> 384 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 385 </div> 386 <div>
387 <span class="asic-text-body-xsmall">Need to create an account?</span> 388 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 389 </div> 390 </div> 391 </div> 392 393 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-mis" hidden=""> 394 <p>You can register a managed investment scheme using the eLicensing system (not the ASIC regulatory portal).</p> 395 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/005/afslportal/get/ServicesLogin">Log in to the eLicensing system</a> 396 </div> 397 398 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-pds" hidden=""> 399 <p>You can lodge FS88 PDS in-use notice using the eLicensing system (not the ASIC regulatory portal).</p> 400 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/005/afslportal/get/ServicesLogin">Log in to the eLicensing system</a> 401 </div> 402 403 <div class="portal-tab-content" data-group="select-my-task-afs" id="content-afs-learn" hidden=""> 404 <p>Within online services for business name holders, you can: </p> 405 <ul> 406 <li>log in or sign up to ASIC's portals</li> 407 <li>learn about ASIC's online services and processes</li> 408 <li>access user guides.</li> 409 </ul> 410 <div class="portal-button-collection"> 411 <div> 412 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/afs-licensees/">AFS licensees</a> 413 </div> 414 </div> 415 </div> 416 </div> 417 </details> 418 419 420 <details id="portals-credit" class="asic-accordion__item" name="accordion-portal-group"> 421 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am a</span> Credit licensee and credit representative</summary> 422 <div class="asic-tabs__panel asic-content"> 423 <div class="asic-field"> 424 <label for="select-my-task-cl" class="asic-field__label">I want to</label> 425 <select id="select-my-task-cl" class="asic-select asic-select--fill select-portal" aria-required="true"> 426 <option data-open="content-cl-apply" selected="" value="cl-apply">Apply for a credit licence</option> 427 <option data-open="content-cl-updateagent" value="cl-updateagent">Update licence details and appoint credit representatives</option> 428 <option data-open="content-cl-lodge" value="cl-lodge">Lodge regulatory transactions</option> 429 <option data-open="content-cl-learn" value="cl-learn">Learn about ASIC's online services</option> 430 </select> 431 </div> 432 433 <div class="portal-tab-content" data-group="select-my-task-cl" id="content-cl-apply"> 434 <p>Information and steps on how to apply for a credit licence.</p> 435 <a class="asic-button asic-button--primary" href="/for-finance-professionals/credit-licensees/appl
435ying-for-and-managing-your-credit-licence/apply-for-a-credit-licence">Apply for a credit licence</a> 436 </div> 437 <div class="portal-tab-content" data-group="select-my-task-cl" id="content-cl-updateagent" hidden=""> 438 <p>Update your credit licence details and appoint credit representations via the Credit Licensee portal</p> 439 <div class="portal-button-collection"> 440 <div> 441 <span class="asic-text-body-xsmall">Already have an account?</span> 442 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/011/acrportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 443 </div> 444 <div> 445 <span class="asic-text-body-xsmall">Need to create an account?</span> 446 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 447 </div> 448 </div> 449 </div> 450 <div class="portal-tab-content" data-group="select-my-task-cl" id="content-cl-lodge" hidden=""> 451 <p>Lodge regulatory documents and transactions in the ASIC Regulatory portal.</p> 452 <div class="portal-button-collection"> 453 <div> 454 <span class="asic-text-body-xsmall">Already have an account?</span> 455 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 456 </div> 457 <div> 458 <span class="asic-text-body-xsmall">Need to create an account?</span> 459 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 460 </div> 461 </div> 462 </div> 463 <div class="portal-tab-content" data-group="select-my-task-cl" id="content-cl-learn" hidden=""> 464 <p>Within online services for credit licensees and credit representatives, you can:</p> 465 <ul> 466 <li>log in or sign up to ASIC's portals</li> 467 <li>learn about ASIC's online services and processes</li> 468 <li>read FAQs.</li> 469 </ul> 470 <a class="asic-button asic-button--primary asic-button--allow-wrap" href="/online-services/asic-portals/credit-licensees-and-credit-representatives/">Credit licensees and representatives</a> 471 </div> 472 </div> 473 </details> 474 475 476 <details id="portals-auditor" class="asic-accordion__item" name="accordion-portal-group"> 477 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am an</span> Auditor</summary> 478 <div class="asic-tabs__panel asic-content" > 479 <div class="asic-field"> 480 <label for="select-my-task-audit" class="asic-field__label">I want to</label> 481 <select id="select-my-task-audit" class="asic-select asic-select--fill select-portal" aria-required="true"> 482 <option data-open="content-audit-apply" selected="" value="audit-apply">Apply for an auditor registration</option> 483 <option data-open="content-audit-update" value="audit-update">Update my details and submit statements</option> 484 <option data-open="content-audit-lodge" value="audit-lodge">Lodge regulatory transactions</option> 485 <option data-open="content-audit-learn" value="audit-learn">Learn about ASIC's online services</option> 486 </select> 487 </div> 488 489 <div class="portal-tab-content" data-group="select-my-task-audit" id="content-audit-apply"> 490 <p>Information and steps on how to apply for auditor or authorised audit company registration.</p> 491 <a class="asic-button asic-button--primary" href="/for-finance-professionals/company-auditors/
491applying-for-auditor-or-authorised-audit-company-registration/">Applying for an auditor registration</a> 492 </div> 493 <div class="portal-tab-content" data-group="select-my-task-audit" id="content-audit-update" hidden=""> 494 <p>Update your auditors details and submit annual statements via the Auditors portal.</p> 495 496 <div class="portal-button-collection"> 497 <div> 498 <span class="asic-text-body-xsmall">Already have an account?</span> 499 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/003/raudportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 500 </div> 501 <div> 502 <span class="asic-text-body-xsmall">Need to create an account?</span> 503 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 504 </div> 505 </div> 506 </div> 507 <div class="portal-tab-content" data-group="select-my-task-audit" id="content-audit-lodge" hidden=""> 508 <p>Lodge regulatory documents and transactions in the ASIC Regulatory portal.</p> 509 <div class="portal-button-collection"> 510 <div> 511 <span class="asic-text-body-xsmall">Already have an account?</span> 512 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 513 </div> 514 <div> 515 <span class="asic-text-body-xsmall">Need to create an account?</span> 516 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 517 </div> 518 </div> 519 </div> 520 <div class="portal-tab-content" data-group="select-my-task-audit" id="content-audit-learn" hidden=""> 521 <ul> 522 <li>log in or sign up to ASIC's portals</li> 523 <li>Within online services for auditors, you can learn about ASIC's online services and processes.</li> 524 </ul> 525 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/auditors/">Auditors</a> 526 </div> 527 </div> 528 </details> 529 530 531 <details id="portals-smsf" class="asic-accordion__item" name="accordion-portal-group"> 532 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am a</span> SMSF auditor</summary> 533 <div class="asic-tabs__panel asic-content"> 534 <div class="asic-field"> 535 <label for="select-my-task-smsf" class="asic-field__label">I want to</label> 536 <select id="select-my-task-smsf" class="asic-select asic-select--fill select-portal" aria-required="true"> 537 <option data-open="content-smsf-apply" selected="" value="smsf-apply">Apply for and maintain my SMSF auditor registration</option> 538 <option data-open="content-smsf-learn" value="smsf-learn">Learn about ASIC's online services</option> 539 </select> 540 </div> 541 542 <div class="portal-tab-content" data-group="select-my-task-smsf" id="content-smsf-apply"> 543 <p>Apply and maintain your SMSF auditor registration via the Regulatory portal.</p> 544 <div class="portal-button-collection"> 545 <div>
546 <span class="asic-text-body-xsmall">Already have an account?</span> 547 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 548 </div> 549 <div> 550 <span class="asic-text-body-xsmall">Need to create an account?</span> 551 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 552 </div> 553 </div> 554 </div> 555 <div class="portal-tab-content" data-group="select-my-task-smsf" id="content-smsf-learn" hidden=""> 556 <p>Within online services for SMSF auditors, you can:</p> 557 <ul> 558 <li>log in or sign up to ASIC's portals</li> 559 <li>learn about ASIC's online services and processes</li> 560 <li>access user guides</li> 561 <li>read FAQs.</li> 562 </ul> 563 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/smsf-auditors/">SMSF auditors</a> 564 </div> 565 </div> 566 </details> 567 568 569 <details id="portals-liquidator" class="asic-accordion__item" name="accordion-portal-group"> 570 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I am a</span> Liquidator</summary> 571 <div class="asic-tabs__panel asic-content"> 572 <div class="asic-field"> 573 <label for="select-my-task-liq" class="asic-field__label">I want to</label> 574 <select id="select-my-task-liq" class="asic-select asic-select--fill select-portal" aria-required="true"> 575 <option data-open="content-liq-admin" selected="" value="liq-admin">Update and lodge administrative document</option> 576 <option data-open="content-liq-regulatory" value="liq-regulatory">Lodge regulatory transactions</option> 577 <option data-open="content-liq-learn" value="liq-learn">Learn about ASIC's online services</option> 578 </select> 579 </div> 580 <div class="portal-tab-content" data-group="select-my-task-liq" id="content-liq-admin"> 581 <p>Update your liquidator details and lodge external administration documents via the liquidator portal.</p> 582 <div class="portal-button-collection"> 583 <div> 584 <span class="asic-text-body-xsmall">Already have an account?</span> 585 <a class="asic-button asic-button--primary" href="https://www.edge.asic.gov.au/002/rliqportal/get/ServicesLogin"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 586 </div> 587 <div> 588 <span class="asic-text-body-xsmall">Need to create an account?</span> 589 <a class="asic-button asic-button--secondary" href="https://www.edge.asic.gov.au/cgi-bin/Lodgement/RC99V004/start/ApplicationLogin">Sign up</a> 590 </div> 591 </div> 592 </div> 593 <div class="portal-tab-content" data-group="select-my-task-liq" id="content-liq-regulatory" hidden=""> 594 <p>Lodge regulatory documents and transactions in the ASIC Regulatory portal.</p> 595 <div class="portal-button-collection"> 596 <div>
597 <span class="asic-text-body-xsmall">Already have an account?</span> 598 <a class="asic-button asic-button--primary" href="https://regulatoryportal.asic.gov.au/Account/SignIn"><span class="asic-icon" data-symbol="account_circle"></span>Log in</a> 599 </div> 600 <div> 601 <span class="asic-text-body-xsmall">Need to create an account?</span> 602 <a class="asic-button asic-button--secondary" href="https://regulatoryportal.asic.gov.au/registration/">Sign up</a> 603 </div> 604 </div> 605 </div> 606 <div class="portal-tab-content" data-group="select-my-task-liq" id="content-liq-learn" hidden=""> 607 <ul> 608 <li>log in or sign up to ASIC's portals</li> 609 <li>Within online services for liquidators, you can learn about ASIC's online services and processes.</li> 610 </ul> 611 <a class="asic-button asic-button--primary" href="/online-services/asic-portals/liquidators">Liquidators</a> 612 </div> 613 </div> 614 </details> 615 616 <!-- 617 <details id="portals-search" class="asic-accordion__item asic-accordion__item-dark" name="accordion-portal-group"> 618 <summary class="asic-accordion__title asic-portal-accordian-banner"><span class="asic-portal-hidden">I want to</span> Search ASIC registers</summary> 619 <div class="asic-tabs__panel asic-content"> 620 <div class="asic-field"> 621 <label for="select-my-task-search" class="asic-field__label">I want to search for</label> 622 <select id="select-my-task-search" class="asic-select asic-select--fill select-portal"> 623 <option data-open="content-search-companies" selected="" value="search-admin">Companies and organisation</option> 624 <option data-open="content-search-business" value="search-regulatory">Business names details</option> 625 <option data-open="content-search-professional" value="search-professional">Professional registers</option> 626 <option data-open="content-search-banned" value="search-banned">Banned and disqualified</option> 627 <option data-open="content-search-other" value="search-other">Other ASIC registers</option> 628 </select> 629 </div> 630 631 <div class="portal-tab-content" data-group="select-my-task-search" id="content-search-companies"> 632 <p>This search provides information about companies and organisations recorded on our registers. 633 The types of organisations you can search for includes:</p> 634 <ul> 635 <li>companies</li> 636 <li>registered bodies</li> 637 <li>foreign companies</li> 638 <li>associations</li> 639 <li>managed investment schemes</li> 640 <li>non-registered entities</li> 641 </ul> 642 <a class="asic-button asic-button--primary" href="https://connectonline.asic.gov.au/Reg
642istrySearch/faces/landing/SearchRegisters.jspx">Search Company and Other Registers</a> 643 </div> 644 645 <div class="portal-tab-content" data-group="select-my-task-search" id="content-search-business" hidden> 646 <p>You can search our register for information on registered and cancelled business names. This includes the business name holder, their ABN, and any other details.</p> 647 <a class="asic-button asic-button--primary" href="https://connectonline.asic.gov.au/RegistrySearch/faces/landing/bn/SearchBnRegisters.jspx?_adf.ctrl-state=17suze8s17_18">Search Business Names Register</a> 648 </div> 649 650 <div class="portal-tab-content" data-group="select-my-task-search" id="content-search-professional" hidden> 651 <p>ASIC's professional registers provide information about 'professionals', including liquidators, auditors and licensees.</p> 652 <a class="asic-button asic-button--primary" href="https://service.asic.gov.au/search/">ASIC Professional Registers Search</a> 653 </div> 654 655 <div class="portal-tab-content" data-group="select-my-task-search" id="content-search-banned" hidden> 656 <p>ASIC's professional registers provide information about 'professionals', including liquidators, auditors and licensees.</p> 657 <a class="asic-button asic-button--primary" href="https://service.asic.gov.au/search/">ASIC Professional Registers Search</a> 658 </div> 659 660 <div class="portal-tab-content" data-group="select-my-task-search" id="content-search-other" hidden> 661 <a class="asic-button asic-button--primary" href="https://www.asic.gov.au/online-services/search-asic-registers/">Search ASIC registers</a> 662 </div> 663 </div> 664 665 </details> 666 --> 667 668 </div> 669 </div> 670 </div> 671 </div> 672<!--endnoindex--> 673<!--endnoindex--> </header> 674 </div> 675 676 <div class="asic-dark"> 677 <div class="asic-hero-banner "> 678 679 <div class="asic-banner asic-container "> 680 681 <nav aria-label="Breadcrumbs" class="asic-breadcrumbs asic-breadcrumbs-banner" data-initialized="false" data-expanded="true"> 682 <ol class="asic-breadcrumbs__list"> 683 <li class="asic-breadcrumbs__item"><a class="asic-breadcrumbs__item-link" href="/">Home</a></li> 684 <li class="asic-breadcrumbs__item"><a class="asic-breadcrumbs__item-link" href="/about-asic">About ASIC</a></li> 685 <li class="asic-breadcrumbs__item"><a class="asic-breadcrumbs__item-link" href="/about-asic/asic-investigations-and-enforcement">ASIC investigations and enforcement</a></li> 686 <li class="asic-breadcrumbs__item">Enforcement activities</li> 687 </ol> 688 </nav> 689 <div class="asic-banner__content"> 690 <p class="asic-text-display "> 691 About ASIC 692 </p> 693 </div> 694 </div> 695 </div> 696 </div> 697 <div class="asic-container asic-page "> 698 699 <div class="asic-page__sidebar"> 700 <!-- Sidebar component goes here --> 701 702 703 <div class="asic-collapsible asic-collapsible--offset"> 704 <button 705 aria-expanded="false" 706 class="asic-collapsible__toggle" 707 > 708 In this section 709 </button> 710 <div class="asic-collapsible__region"> 711 712 <nav class="asic-sidenav asic-sidenav-lhs" aria-labelledby="sidenav-title-id"> 713 714 715 <h2 id="sidenav-title-id" class="asic-sidenav__title"> 716 <a class="asic-sidenav__title-link" href="/about-asic/asic-investigations-and-enforcement"> 717 ASIC investigations and enforcement 718 </a> 719 </h2> 720 <ul class="asic-sidenav__list"> 721 722 <!-- CURRENT ITEM SIBLINGS --> 723 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-s-approach-to-enforcement">ASIC’s approach to enforcement</a></li> 724 <!-- CURRENT ITEM SIBLINGS --> 725 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-enforcement-priorities">ASIC enforcement priorities</a></li> 726 <!-- CURRENT ITEM SIBLINGS --> 727 <li class=" asic-sidenav__item asic-sidenav__item-expandable"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-enforcement-outcomes">ASIC enforcement outcomes</a></li> 728 <!-- CURRENT ITEM --> 729 <li class="asic-sidenav__item asic-sidenav__listitem__expanded current"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities" aria-current="page">Enforcement activities</a> 730 <!-- CURRENT ITEM CHILDREN --> 731 <ul class="asic-sidenav__list asic-sidenav-lhs"> 732 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/alamm
732c-developments">ALAMMC Developments</a></li> 733 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/ascent-investments-and-coaching-pty-ltd-and-michael-dunjey">Ascent Investments and Coaching Pty Ltd and Michael Dunjey</a></li> 734 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/australian-fiduciaries-ltd">Australian Fiduciaries Ltd</a></li> 735 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/bby-ltd">BBY Ltd</a></li> 736 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/brite-advisors">Brite Advisors</a></li> 737 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/capital-guard-au-pty-ltd-in-liquidation">Capital Guard AU Pty Ltd (In Liquidation)</a></li> 738 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/chris-marco">Chris Marco</a></li> 739 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/christopher-malcolm-edwards">Christopher Malcolm Edwards</a></li> 740 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/courtenay-house-capital-trading-group-pty-limited-and-courtenay-house-pty-limited">Courtenay House Capital Trading Group Pty Limited and Courtenay House Pty Limited</a></li> 741 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/first-guardian-master-fund">First Guardian Master Fund</a></li> 742 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/first-mutual-private-equity-pty-ltd-and-mr-cotton">First Mutual Private Equity Pty Ltd and Mr Cotton</a></li> 743 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/halifax-investment-services-pty-ltd">Halifax Investment Services Pty Ltd</a></li> 744 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/lion-property-group">Lion Property Group</a></li> 745 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/mayfair-101">Mayfair 101</a></li> 746 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/ngs-crypto-companies">NGS Crypto Companies</a></li> 747 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/prospero-markets-pty-ltd">Prospero Markets Pty Ltd</a></li> 748 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/shield-master-fund">Shield Master Fund</a></li> 749 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/star-investment-group-australia-pty-ltd-gondal-holdings-pty-ltd-and-ijaz-ahmad">Star Investment Group Australia Pty Ltd, Gondal Holdings Pty Ltd and Ijaz Ahmad</a></li> 750 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/sterling-group-investigation">Sterling Group</a></li> 751 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/united-global-capital-pty-ltd-in-liquidation">United Global Capital Pty Ltd (in liquidation)</a></li> 752 <li class="asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/youpla-group-formerly-aboriginal-community-benefit-fund">Youpla Group (formerly Aboriginal Community Benefit Fund)</a></li> 753 </ul> 754 </li> 755 <!-- CURRENT ITEM SIBLINGS --> 756 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/cooperating-with-asic">Cooperating with ASIC</a></li> 757 <!-- CURRENT ITEM SIBLINGS --> 758 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-s-compulsory-information-gathering-powers">Information-gathering powers</a></li> 759 <!-- CURRENT ITEM SIBLINGS --> 760 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/claims-of-legal-professional-privilege">Claims of legal professional privilege</a></li> 761 <!-- CURRENT ITEM SIBLINGS --> 762 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/public-comment-on-asics-regulatory-activities">Public comment on ASIC's regulatory activities</a></li> 763 <!-- CURRENT ITEM SIBLINGS --> 764 <li class=" asic-sidenav__item asic-sidenav__item-expandable"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/whistleblowing">Whistleblowing</a></li> 765 <!-- CURRENT ITEM SIBLINGS --> 766 <li class=" asic-sidenav__item asic-sidenav__item-expandable"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-s-approach-to-involvement-in-private-court-proceedings">Private court proceedings - ASIC involvement</a></li> 767 <!-- CURRENT ITEM SIBLINGS --> 768 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/about-the-court-enforceable-undertakings-register">About the court enforceable undertakings register</a></li> 769 <!-- CURRENT ITEM SIBLINGS --> 770 <li class=" asic-sidenav__item asic-sidenav__item-expandable"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/infringement-notices">Infringement notices</a></li> 771 <!-- CURRENT ITEM SIBLINGS --> 772 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/recovery-of-investigation-expenses-and-costs">Recovery of investigation expenses and costs</a></li> 773 <!-- CURRENT ITEM SIBLINGS --> 774 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/lawful-disruption-of-access-to-online-services-policy-and-procedures">Lawful disruption of access to online services</a></li> 775 <!-- CURRENT ITEM SIBLINGS --> 776 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-s-document-production-guidelines">Document production guidelines</a></li> 777 <!-- CURRENT ITEM SIBLINGS --> 778 <li class=" asic-sidenav__item"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/fines-and-penalties">Fines and penalties</a></li> 779 <!-- CURRENT ITEM SIBLINGS --> 780 <li class=" asic-sidenav__item asic-sidenav__item-expandable"><a class="asic-sidenav__item-link" href="/about-asic/asic-investigations-and-enforcement/asic-action-on-phoenix-activity">ASIC action on phoenix activity</a></li> 781 782 </ul> 783 </nav> 784 </div> 785</div> 786 787 </div> 788
789 <main id="main-content" class="asic-page__main"> 790 <header class="asic-page__header"> 791 <!-- Page header component goes here --> 792 <h1 class="asic-text-title-large"> 793 Enforcement activities 794 </h1> 795 </header> 796 797 <div class="asic-page__article"> 798 799 <!-- Prose component goes here --> 800<p class="intro">ASIC provides information in relation to the below investigations including updates and how to contact the investigation teams.</p> 801<ul> 802<ul> 803<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/alammc-developments" title="ALAMMC Developments">ALAMMC Developments</a></li> 804<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/ascent-investments-and-coaching-pty-ltd-and-michael-dunjey" title="Ascent Investments and Coaching Pty Ltd and Michael Dunjey">Ascent Investments and Coaching Pty Ltd and Michael Dunjey</a></li> 805<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/australian-fiduciaries-ltd" title="Australian Fiduciaries Ltd">Australian Fiduciaries Ltd</a></li> 806<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/bby-ltd" title="BBY Ltd">BBY Ltd</a></li> 807<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/brite-advisors" title="Brite Advisors">Brite Advisors</a></li> 808<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/capital-guard-au-pty-ltd-in-liquidation" title="Capital Guard AU Pty Ltd (In Liquidation)">Capital Guard AU Pty Ltd (In Liquidation)</a></li> 809<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/chris-marco" title="Chris Marco">Chris Marco</a></li> 810<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/christopher-malcolm-edwards" title="Christopher Malcolm Edwards">Christopher Malcolm Edwards</a></li> 811<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/courtenay-house-capital-trading-group-pty-limited-and-courtenay-house-pty-limited" title="Courtenay House Capital Trading Group Pty Limited and Courtenay House Pty Limited">Courtenay House Capital Trading Group Pty Limited and Courtenay House Pty Limited</a></li> 812<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/first-guardian-master-fund" title="First Guardian Master Fund">First Guardian Master Fund</a></li> 813<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/first-mutual-private-equity-pty-ltd-and-mr-cotton" title="First Mutual Private Equity Pty Ltd">First Mutual Private Equity Pty Ltd</a></li> 814<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/halifax-investment-services-pty-ltd" title="Halifax Investment Services Pty Ltd">Halifax Investment Services Pty Ltd</a></li> 815<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/lion-property-group" title="Lion Property Group">Lion Property Group</a></li> 816<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/mayfair-101" title="Mayfair 101">Mayfair 101</a></li> 817<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/ngs-crypto-companies" title="NGS Crypto Companies">NGS Crypto Companies</a></li> 818<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/prospero-markets-pty-ltd" title="Prospero Markets Pty Ltd">Prospero Markets Pty Ltd</a></li> 819<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/shield-master-fund" title="Shield Master Fund">Shield Master Fund</a></li> 820<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/star-investment-group-australia-pty-ltd-gondal-holdings-pty-ltd-and-ijaz-ahmad" title="Star Investment Group Australia Pty Ltd, Gondal Holdings Pty Ltd and Ijaz Ahmad">Star Investment Group Australia Pty Ltd, Gondal Holdings Pty Ltd and Ijaz Ahmad</a></li> 821<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/sterling-group-investigation" title="Sterling Group investigation">Sterling Group</a></li> 822<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/united-global-capital-pty-ltd-in-liquidation" title="United Global Capital Pty Ltd (in administration)">United Global Capital Pty Ltd</a></li> 823<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/youpla-group-formerly-aboriginal-community-benefit-fund" title="Youpla Group (formerly Aboriginal Community Benefit Fund)">Youpla Group (formerly Aboriginal Community Benefit Fund)</a></li> 824</ul> 825</ul> 826 827 828 </div> 829 830 831 </main> 832 833 </div> 834 835 <!-- Footer component goes here --> 836 <footer class="asic-footer asic-dark asic-footer-custom"> 837<div class="asic-feedback-banner"> 838<div class="asic-container"> 839<h3 class="asic-feedback-header">Did you find the information on this page helpful?</h3> 840<button class="asic-button asic-button--small asic-button--primary asic-yes-button">
840<span class="asic-icon" data-symbol="thumb_up"></span>Yes</button> <button class="asic-button asic-button--small asic-button--primary asic-no-button"><span class="asic-icon" data-symbol="thumb_down"></span>No</button> 841<div class="asic-feedback-dropdown asic-feedback-yes-dropdown" data-hidden="true"> 842<p>Thanks for your feedback</p> 843</div> 844<div class="asic-feedback-dropdown asic-feedback-no-dropdown" data-hidden="true"> 845<p>Thanks for your feedback</p> 846</div> 847</div> 848</div> 849<!-- END FEEDBACK BANNER --> 850<div class="asic-container"> 851<div class="footer-links"> 852<div> 853<h2 class="asic-footer-custom-heading"><a href="/about-asic/what-we-do/our-role/">About ASIC</a></h2> 854<ul class="asic-footer-custom-list"> 855<li><a href="/about-asic/what-we-do/our-role/">What we do</a></li> 856<li><a href="/about-asic/asic-investigations-and-enforcement/">Investigation and enforcement</a></li> 857<li><a href="/about-asic/asic-investigations-and-enforcement/enforcement-activities/">Enforcement activities</a></li> 858<li><a href="/about-asic/dealing-with-asic/">Dealing with ASIC</a></li> 859<li><a href="/about-asic/asic-events/">ASIC events</a></li> 860<li><a href="/about-asic/dealing-with-asic/information-for-mps-senators/">Information for MPs & Senators</a></li> 861</ul> 862</div> 863<div> 864<h2 class="asic-footer-custom-heading"><a href="/newsroom">Newsroom</a></h2> 865<ul class="asic-footer-custom-list"> 866<li><a href="/newsroom/media-releases/">Media releases </a></li> 867<li><a href="/newsroom/search/?type=speech">Speeches </a></li> 868<li><a href="/newsroom/search/?type=news">News </a></li> 869<li><a href="/newsroom/search/?type=article">Articles </a></li> 870<li><a href="/about-asic/contact-us#media">For journalists</a></li> 871<li><a href="/about-asic/news-centre/inside-asic-podcast/">Inside ASIC podcast</a></li> 872</ul> 873</div> 874<div> 875<h2 class="asic-footer-custom-heading"><a href="/about-asic/corporate-publications/">Corporate publications</a></h2> 876<ul class="asic-footer-custom-list"> 877<li><a href="/about-asic/corporate-publications/asic-annual-reports/">ASIC annual reports </a></li> 878<li><a href="/about-asic/corporate-publications/asic-corporate-plan/">ASIC corporate plan</a></li> 879<li><a href="/about-asic/corporate-publications/newsletters/">Newsletters </a></li> 880<li><a href="/about-asic/corporate-publications/asic-gazette/">ASIC Gazette </a></li> 881<li><a href="/about-asic/corporate-publications/asic-digest/">ASIC Digest</a></li> 882</ul> 883</div> 884<div> 885<h2 class="asic-footer-custom-heading"><a href="/online-services">Online services</a></h2> 886<ul class="asic-footer-custom-list"> 887<li><a href="/online-services/asic-portals/">ASIC portals</a></li> 888<li><a href="/online-services/search-asic-registers/">Search ASIC registers</a></li> 889<li><a href="https://asicconnect.asic.gov.au/public/faces/landingPage">ASIC Connect</a></li> 890<li><a href="https://regulatoryportal.asic.gov.au/">Regulatory portal</a></li> 891</ul> 892<br> 893<h2 class="asic-footer-custom-heading"><a href="/about-asic/careers-at-asic/">Careers at ASIC</a></h2> 894<p> </p> 895</div> 896<div> 897<h2 class="asic-footer-custom-heading"><a href="/about-asic/contact-us/">Contact us</a></h2> 898<ul class="asic-footer-custom-list"> 899<li><a href="/about-asic/contact-us/top-call-centre-questions/">Top call centre questions</a></li> 900<li><a href="/about-asic/contact-us/report-issue-to-asic/">Report issue to ASIC</a></li> 901<li><a href="/about-asic/contact-us/reporting-misconduct-to-asic/">Reporting misconduct to ASIC</a></li> 902<li><a href="/regulatory-resources/scams">Scams</a></li> 903<li><a href="/about-asic/contact-us/asic-offices/">ASIC offices </a></li> 904</ul> 905</div> 906</div> 907</div> 908<div class="asic-footer-shaded-container"> 909<div class="asic-container"> 910<div class="follow-links"> 911<h3 class="asic-footer-custom-heading">Follow us on:</h3> 912<ul> 913<li><a href="https://x.com/asicmedia" class="icon-x">X</a></li> 914<li><a href="https://www.linkedin.com/company/asic" class="icon-linkedin">LinkedIn</a></li> 915<li><a href="https://www.facebook.com/asicconnect" class="icon-facebook">Facebook</a></li> 916</ul> 917</div> 918</div> 919</div> 920<div class="asic-container"> 921<div class="general-links"> 922<ul class="asic-footer-custom-list"> 923<li><a href="/about-asic/freedom-of-information-foi/">Freedom of information</a></li> 924<li><a href="/about-asic/dealing-with-asic/copyright-and-linking-to-our-websites/">Copyright</a></li> 925<li><a href="/about-asic/dealing-with-asic/privacy/">Privacy</a></li> 926<li><a href="/about-asic/dealing-with-asic/disclaimer/">Disclaimer</a></li> 927<li><a href="/online-services/online-services-information-and-support/service-availability/" data-anchor="?altTemplate=nga">Service availability</a></li> 928<li><a href="/about-asic/contact-us/">Contact us</a></li> 929<li><a href="/about-asic/dealing-with-asic/accessibility/">Accessibility</a></li> 930</ul> 931</div> 932</div> 933<div class="asic-container asic-footer-copyright"> 934<p>© <span class="asic-dynamic-year">2026</span> Australian Securities & Investments Commission</p> 935</div> 936<hr class="asic-divider asic-divider--medium"> 937<div class="asic-container"> 938<div class="acknowledgement"> 939<div><img src="https://download.asic.gov.au/asic-nextgen/img/djooroot_moort_perterfarmer_artwork.png" alt="Excerpt from âDjooroot Moortâ ASICâs re
939conciliation artwork by Noongar artist Peter Farmer. Djooroot Moort means âcommunity, family tracks, or roadsâ in the Noongar language of Western Australia"> 940<p>Djooroot Moort by<br>Peter Farmer</p> 941</div> 942<div> 943<h3>Acknowledgement of Country</h3> 944<p>ASIC acknowledges the Traditional Owners of the lands and waters on which we live and work. We pay respect to Elders past and present as the custodians of the world's oldest continuing cultures.</p> 945</div> 946</div> 947</div> </footer> 948 949 </div> 950 951 </body> 952 </html> 953 954 955
Line numbers count LF bytes from the start of the resource, as the search results do. Vendor segments are library code the classifier recognised; they are stored but not indexed. Bytes are shown as Latin1 characters, one per byte.