Real ASIC cases. Real results.
As ASIC lawyers, we have represented a number of clients charged with ASIC offences.
If you have been charged with an ASIC offence and need advice or representation, call 03 9670 5111 or fill out the form to the right of this page to contact one of our experienced lawyers.
Read our latest ASIC case studies
Strict Liability Offences – Good Behaviour Bond
This is a case study in strict liability offences that resulted in a non-conviction and good behaviour bond for a period of 12 months. What is alleged to have occurred? Our client was a Melbourne-based publicly listed company that was charged by ASIC with 8 offences under the Corporations Act ...
ASIC Banning Order – No Charges Laid
Our client was served with a Notice to attend a Section 19 Examination at ASIC. The examination was to investigate a situation that arose as part of their employment as a financial advisor. What is alleged to have occurred? The allegation was that our client took on a new client ...
ASIC Section 19 Examination – No Charges Laid
Our client was made to attend an ASIC section 19 examination. An ASIC section 19 examination is a process conducted by the Australian Securities and Investments Commission (ASIC) under the Australian Securities and Investments Commission Act 2001. This questioning was held in the ASIC office in Collins Street, Melbourne. These ...
ASIC Charges – Failing to Report Information
Our client was a company that was facing several ASIC charges of failing to report information under the Corporations Act. These included offences relating to Directors resident in Australia and also financial reporting. The failure to lodge offence has a maximum penalty of a fine of $252,000 on each offence ...
Insider Trading – Fine
This is a case study on a charge of Insider Trading with fine as the resulting sentencing penalty. Our client was charged with Insider Trading and was arrested following an ASIC investigation sparked by its Market Surveillance Team and investigation by ASIC's Market Integrity Enforcement team. What is alleged to ...
