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ASIC

ASIC_regulator

ASIC permanently bans insurance broker convicted of fraud

08/12/2015(0)
ASIC has permanently banned Mr Mark Chapple from providing financial services after he was convicted of fraud in the NSW Magistrates Court (Tamworth). In May 2015, Mr Chapple pleaded guilty ... Read More
ASIC_regulator

ASIC doesn’t understand us, claim brokers

07/12/2015(0)
ASIC does not properly understand the mortgage broking industry, mortgage brokers are concerned. In a recent online poll conducted by Australian Broker asking brokers if ASIC understood their industry, ... Read More
ASIC_regulator

ASIC: Former CEO of a Fund Manager Firm (in liquidation) is permanently banned

03/12/2015(0)
The Australian Securities and Investment Commission has issued a press release to inform about its decision to permanently ban former Equititrust CEO. According to ASIC, the Commission has permanently ... Read More
ASIC_regulator

ASIC imposes licence conditions on Morgans Financial Limited

30/11/2015(0)
ASIC and Morgans Financial Limited (Morgans) have agreed to the imposition of new licence conditions on Morgans’ Australian financial services licence. This action by ASIC follows a number of ... Read More
ASIC_regulator

ASIC cancels license of financial services company

23/11/2015(0)
ASIC cancels Chronos Capital Pty Limited’s AFS licence and permanently bans Robert Lachlan Semple ASIC has cancelled the Australian financial services licence (AFSL) of Ultimo-based financial services company, Chronos ... Read More
ASIC_regulator

ASIC has obtained orders freezing investment companies assets

18/11/2015(0)
ASIC has obtained orders in the Federal Court of Australia at Melbourne yesterday freezing the assets of CME Capital Australia Pty Ltd, Boston Pacific Capital Australia Pty Ltd and ... Read More
ASIC_regulator

Bocafx agreed to remove misleading statement for ASIC authorisation

18/11/2015(0)
Following ASIC concerns, Boca Global Financial Group Pty Ltd ACN 602 109 035 (Boca) has agreed to remove statements on its website suggesting Boca is ASIC regulated or authorised ... Read More
ASIC_regulator

Formax removes false statements about the suspension of its subsidiary’s licence

16/11/2015(0)
Following concerns raised by ASIC, Formax International Market Limited (Formax) has removed a previously published media release from its group website that falsely claimed its wholly owned subsidiary, Australian ... Read More
ASIC_regulator

OCM pays $30,600 penalty for misleading advertising

03/11/2015(1)
O.C.M. Online Capital Markets Pty Ltd (OCM) has paid $30,600 in penalties after ASIC issued three infringement notices for false or misleading online advertising. Each infringement notice imposed a ... Read More
ASIC_regulator

ASIC publishes results of new reviews of high-frequency trading and dark liquidity

26/10/2015(0)
The Australian Securities and Investment Commission has released today a report of new reviews of high-frequency trading and dark liquidity. The report examining the impact of high-frequency trading on ... Read More
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