🇦🇺Australia

ASIC Advertising Compliance Fines

1 verified sources

Definition

Non-compliant advertising triggers ASIC interventions including injunctions, licence conditions requiring legal monitoring of materials, and potential civil penalties for misleading conduct.

Key Findings

  • Financial Impact: AUD 50,000+ civil penalties per breach; 20-40 hours/month legal review; licence condition costs AUD 10,000-20,000 annually
  • Frequency: Per enforcement action or audit finding
  • Root Cause: Manual compliance reviews missing RG 234 requirements on balanced info, risk warnings, fees disclosure

Why This Matters

The Pitch: Investment advice firms in Australia 🇦🇺 face AUD 50,000+ penalties and legal costs from ad compliance breaches. Automation of advertising compliance review eliminates this risk.

Affected Stakeholders

Marketing Manager, Compliance Officer, Financial Adviser

Deep Analysis (Premium)

Financial Impact

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Current Workarounds

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Methodology & Sources

Data collected via OSINT from regulatory filings, industry audits, and verified case studies.

Evidence Sources:

Related Business Risks

Meta Financial Services Ad Verification Penalties

AUD 10,000-50,000/month lost ad spend; 10-20 hours setup/verification per campaign

Poor Ad Decisions from Compliance Gaps

AUD 20,000-100,000 wasted creative/production per pulled campaign; AUD 5,000-15,000 legal monitoring annually

ASIC Brochure Non-Delivery Fines

AUD 11,100 - 2,210,000 per breach (infringement notices); up to AUD 1.11M civil penalties for corporations

Manual Brochure Preparation Labour Costs

AUD 4,000 - 8,000 per brochure (40 hours at AUD 100-200/hr compliance lawyer rate)

Client Acquisition Delays from Brochure Friction

2-5% revenue loss from delayed client onboarding (industry standard for compliance friction)

AUSTRAC AML/CTF Non-Compliance Fines

AUD 4.5M to AUD 22.2M civil penalty per breach for large entities; AUD 1.1M to AUD 4.5M for small entities

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