Australian Securities and Investments Commission
Documents Indicating The Following Information About Each Civil And Criminal Penalty Case Commenced In A Court By ASIC (or The Asc), Including, To Avoid Any Confusion, Cases Prosecuted By The…
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Documents Indicating The Following Information About Each Civil And Criminal Penalty Case Commenced In A Court By ASIC (or The Asc), Including, To Avoid Any Confusion, Cases Prosecuted By The Commonwealth Director Of Public Prosecutions Which Were Commenced By ASIC Investigation: The Name Of The Case; The Name Of All Persons Against Whom Action Was Brought (or, If This Is Not Possible, Whether They Were Natural Persons Or Body Corporates); The Case Outcome (including Whether It Was Contested/plead Guilty To; The Penalty; Litigation Ongoing/judgment On Reserve; Abandoned; Settled); The Provision Which ASIC (or The Cdpp) Alleged Was Contravened; The Nature Of Any Resulting Civil Penalty Or Criminal Sentence; The Name Of The Court In Which The Case Was Commenced.
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ASIC released summary data on its civil and criminal penalty enforcement proceedings from 2011-12 through 2024-25. The disclosure includes aggregate statistics on civil penalty cases commenced and completed by financial year, showing ASIC initiated 168 unique civil proceedings over the period, with 272 completed. Civil penalties totalled $830.3 million, with peak enforcement years including 2020-21 ($189.4 million), 2021-22 ($229.9 million), and 2022-23 ($185.4 million). The document confirms proceedings were filed in Federal and State Supreme Courts against both individuals and organisations, but does not include cases seeking interim orders, injunctions, winding-up orders, or section 70 ASIC Act orders. Specific defendant names, alleged breaches, case outcomes, and individual penalty amounts were redacted from the released tables.
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