Search Results for: ASIC
ASIC’s Strategic Outlook 2014-15
October 20th, 2014
ASIC today published its Strategic Outlook for 2014–15. ASIC’s Strategic Outlook sets out the key risks ASIC sees to the markets it regulates, and how ASIC will respond – prioritising its tools of surveillance and enforcement. ASIC scans the ...
ASIC: Pepperstone exits the Japanese market
October 13th, 2014
Pepperstone Group Ltd (Pepperstone) has agreed to cease providing financial services in Japan following inquiries by ASIC that revealed they were not licensed by the Japanese Financial Services Agency. Pepperstone is an Australian corporation, which was licensed by ASIC ...
Greg Medcraft of ASIC re-elected IOSCO Board Chair
October 3rd, 2014
The International Organization of Securities Commissions (IOSCO) today re-elected Mr. Greg Medcraft as Chairman of the IOSCO Board. Mr. Medcraft was re-elected at the inaugural meeting of the newly constituted Board, during the IOSCO Annual Conference in Rio de ...
ASIC and MAS sign a Memorandum of Understanding
September 17th, 2014
The Australian regulator, ASIC, and the Monetary Authority of Singapore (MAS) have sign a Memorandum of Understanding (MOU) to allow trade repositories licensed in one jurisdiction to provide relevant data to the authority in the other jurisdiction. Through this ...
ASIC warns against unauthorised firm
September 15th, 2014
ASIC has issued a warning to consumers to be wary of a fake website promoting foreign exchange broker, First Forex. First Forex and related entities Fifx and FiFX Global promote their services at www.fifx.com and falsely claim that their ...
ASIC cancels margin forex company’s AFS licence
September 9th, 2014
The Australian regulator, ASIC, has cancelled the Australian financial services (AFS) licence of Global Derivative Services Pty Ltd (GDS) after an investigation found it failed to comply with a number of its AFS licence obligations. According to its website, ...
ASIC charges Goldman Sachs Australia Pty Ltd with $35,000 penalty
September 1st, 2014
The Australian Securities and Investments Commisions (ASIC) has charged Goldman Sachs Australia Pty Ltd (Goldman Sachs) with a penalty of $35,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was ...
ASIC publishes first report on corporate finance regulation
August 29th, 2014
The Australian Securities and Investments Commission (ASIC), has today published the first of a series of regular reports it intends issuing on the regulation of corporate finance issues in Australia. The report, which covers the period January to June ...
SpotOption partners with ASIC Regulated Binary Brand
August 26th, 2014
SpotOption – headquartered in Cyprus – has entered into a partnership with the youtradeFX Group in facilitating the launch of the latter’s new Australian binary options brand. All online traffic to the Australian offshoot of the group (www.ytfx.com.au) is ...
ASIC publishes supervision report
August 21st, 2014
The Australian regulator in its effort to enforce regulation has published its eighth report on market supervision to inform firms on compliance procedures. ASIC has published its eighth report on the supervision and surveillance of Australian financial markets and ...
