Latest Regulatory Oversight News

Sequoia Financial Group’s subsidiary InterPrac Financial Planning faces ASIC civil penalty proceedings over past investment advice but plans a robust defence.

Mt Malcolm Mines NL has suspended trading of its M2MOA securities pending regulatory compliance, signaling a cautious pause for investors.

NeuroScientific Biopharmaceuticals has initiated treatment of its fourth patient under the Special Access Scheme for StemSmart™, progressing towards a Phase 2 trial targeting severe Crohn’s disease.

James Hardie Industries faces intense scrutiny from the ASX after its share price dropped sharply and trading volumes spiked, prompting urgent questions about undisclosed information.

SportsHero Limited has voluntarily suspended trading on the ASX pending a Supreme Court decision regarding its failure to lodge required cleansing notices for recent share issues.

QBE Insurance Group has priced a $300 million issue of USD subordinated notes due in 2037, offering investors a fixed 5.239% interest rate initially, with a reset in 2032 tied to U.S. Treasury yields. These notes strengthen QBE’s regulatory capital under APRA’s framework.

Trading in the Munro Climate Change Leaders Fund Active ETF (MCCL) has been temporarily halted pending a forthcoming announcement, raising questions about the fund’s near-term outlook.

Bentley Capital Limited has voluntarily suspended trading of its shares on the ASX pending a market announcement addressing a recent price and volume query. The suspension is expected to last until early November, signaling heightened regulatory scrutiny.

N1 Holdings reports a steady start to FY26 with a $375,000 net profit and robust cash flow, driven by its SME lending operations and enhanced by AI technology.

The Takeovers Panel has accepted a further undertaking from Emu NL regarding its entitlement offer and declined to declare unacceptable circumstances, resolving regulatory concerns tied to recent corporate governance actions.

GoviEx Uranium Inc. securityholders have overwhelmingly approved a critical plan of arrangement, clearing a major hurdle for the proposed reverse takeover of Tombador Iron Limited. The transaction now moves closer to completion, pending final court approval.

ASF Group Limited has voluntarily suspended trading of its securities on the ASX pending a response to regulatory queries, signaling heightened scrutiny and market uncertainty.