Australian Securities and Investments Commission

The Australian Prudential Regulatory Authority (APRA) is the government body responsible for regulating banks, insurance companies, and superannuation funds in Australia. APRA aims to ensure the financial safety and stability of these institutions, protecting the interests of depositors and policyholders. It sets standards and guidelines to manage risks within the financial system. APRA also maintains a list of sanctioned entities that fall under its regulatory oversight, which is essential for compliance checks and risk management.

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5 Lists

Lists Name	Records
ASIC-Unlicensed companies list The ASIC Unlicensed Companies List includes companies that are not authorized by the Australian Securities and Investments Commission (ASIC) to operate in the financial sector. These companies may be involved in illegal activities or fraud, posing risks to investors and businesses. Compliance professionals should be aware of this list to avoid engaging with these companies and to ensure adherence to regulations for maintaining a secure financial environment.	2,829
Fake Regulators and Exchanges by Australian Securities and Investments Commission The Australian Securities and Investments Commission (ASIC) warns the public about fake regulators and exchanges that operate without proper authorization. These fraudulent entities often pose as legitimate organizations, offering enticing investment opportunities to trick unsuspecting individuals.	102
ASIC- Public warning notices	26
Australian Securities and Investments Commission - Banned and Disqualified Organisations The Australian Securities and Investments Commission (ASIC) maintains a list of banned and disqualified organisations to protect the integrity of Australia’s financial markets. These organisations have been prohibited from providing financial services or engaging in certain business activities due to misconduct, breaches of the law, or non-compliance with regulatory requirements.	15
Register of banned bodies corporate by Australian Securities and Investments Commission The Register of Banned Bodies Corporate, maintained by the Australian Securities and Investments Commission (ASIC), contains a list of companies and organizations that have been prohibited from operating in Australia. This register helps ensure compliance with legal and regulatory standards, protecting consumers and investors from potentially harmful practices.	9

FAQs

Why is compliance with Australian Securities and Investments Commission necessary?

Complying with the Australian Securities and Investments Commission (ASIC) regulations is essential for anyone involved in the financial markets. ASIC’s primary role is to protect investors and maintain the integrity of Australia’s financial system. By following ASIC's rules, businesses ensure they operate fairly and transparently, which helps build trust with consumers and investors.

Which companies should comply with Australian Securities and Investments Commission?

The Australian Securities and Investments Commission (ASIC) oversees companies in the finance, investment, and business sectors. All public companies, financial services providers, and credit licensees must comply with ASIC regulations. Compliance ensures transparency, protects investors, and maintains trust in the financial market, which is crucial for the stability and integrity of Australia's economy.

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