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ASIC

ASIC_regulator

XTrade to change client money practices following ASIC surveillance

01/07/2016(0)
As a result of ASIC’s intervention, licensed retail OTC derivatives issuer XTrade.au Pty Ltd (AFSL No. 343628) (XTrade), formerly O.C.M. Online Capital Markets Pty Ltd, will implement changes to ... Read More
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Former Sydney finance broker has been sentenced to a one-year intensive correction order

29/06/2016(0)
Former Sydney finance broker, Jennifer Mary Farias, has been sentenced to a one-year intensive correction order in the NSW Local Court after pleading guilty to 3 counts of loan ... Read More
ASIC_regulator

ASIC cancels licence of AFS wholesale service provider

29/06/2016(0)
ASIC has cancelled the Australian financial services (AFS) licence of Ergo Capital Pty Ltd (AFS licence No 420978) for failing to comply with a number of its obligations as ... Read More
ASIC_regulator

Former banker sentenced to two years imprisonment for insider trading

28/06/2016(0)
Former banker, 30-year-old Oliver Curtis was today sentenced to two years imprisonment after being found guilty by a Supreme Court jury earlier this month of conspiring to commit insider ... Read More
ASIC_regulator

ASIC releases report highlighting significant failures in the retail OTC derivatives industry

22/06/2016(0)
ASIC releases report highlighting significant failures in the retail OTC derivatives industry ASIC today released a report detailing the findings of a recent surveillance program and identifying some serious ... Read More
ASIC_regulator

ASIC warns for entities providing binary options trading

10/06/2016(0)
ASIC warns the public about the conduct of the following entities: Name Address Website Go Trading Technologies Ltd (trading as GOptions)   “GOptions” 3rd floor C & H Towers, ... Read More
ASIC_regulator

ASIC targets mid-tier brokers on how they are managing conflicts of interest

02/06/2016(0)
The financial regulator is worried about how mid-tier research and broking firms are managing conflicts of interest. Australian Securities and Investments Commission chairman Greg Medcraft has told a large gathering ... Read More
ASIC_regulator

ASIC cancels the AFS licence of TMK Index Limited

01/06/2016(0)
ASIC has cancelled the Australian financial services (AFS) licence of TMK Index Limited (AFS Licence No 314823) for failing to comply with a number of key obligations, including requirements ... Read More
ASIC_regulator

ASIC releases its third licensing activity report

31/05/2016(0)
ASIC today published its third report on its approach to licence applications. Report 478 Overview of licensing and professional registration applications: July to December 2015 (REP 478) sets out recent regulatory outcomes ... Read More
ASIC_regulator

ASIC suspends the license of an investment services firm

23/05/2016(0)
ASIC has suspended the Australian financial services licence held by Marigold Falconer International Limited (Marigold Falconer) until 31 May 2016. ASIC found that Marigold Falconer does not have current ... Read More
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