Oceania Reg Desk

Friday, 2026-08-14 · covering the last 24h

Australia

ASIC warns retail investors over high-risk products sold by online brokers. Following targeted surveillance of nine online brokers (March–June 2026) offering short-dated exchange-traded options, futures and fractional shares, ASIC found deficiencies in target market determinations, onboarding checks that allow unlimited attempts at suitability questionnaires, and unclear disclosure of costs and ownership structure for fractional trading; some brokers were also flagged for using fee-free trading and incentives (cash vouchers, airline points) to drive sign-ups. No new product intervention order was announced, but the findings will inform supervisory follow-up with the firms concerned. ASIC 26-193MR

No new developments today on the Rosherville derivative-action matter (disclosed 12 August) or the CS 59/CS 60 consultations (submissions close 20–21 August) — both unchanged since yesterday. No other material ASIC, ASX, Cboe Australia or RBA market-structure items in the last 24 hours.

New Zealand

No material new items in the last 24 hours from the FMA or NZX. The MBIE capital-markets-reform consultation (closes 25 August) is unchanged.

Informational only — summaries of public regulatory sources; not advice.