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ASIC

ASIC_regulator

ASIC publishes third report on corporate finance regulation

21/08/2015(0)
ASIC has today published its third report on the regulation of corporate finance issues in Australia. The report, which covers the period January to June 2015, provides companies and ... Read More
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Broker commissions on ASIC’s radar

21/08/2015(0)
The corporate watchdog has identified the possibility that brokers could be driven by commission to recommend bigger mortgages to borrowers. Speaking at the release of a report on interest-only ... Read More
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ASIC suspends retail OTC derivative licence

17/08/2015(0)
ASIC, the financial regulator of Australia, has issued a press release to inform that it has suspended the Australian financial services (AFS) Licence of retail OTC derivative provider Australian ... Read More
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ASIC bans former representative of Macquarie Equities Limited

10/08/2015(0)
ASIC has banned Mr Shawn Hickman, of Middle Cove, New South Wales, from providing financial services for six years after he engaged in unauthorised discretionary trading on his clients’ ... Read More
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Share trading accounts at some Australia’s largest brokers have been hacked

05/08/2015(0)
Russian hackers have been detected trying to rip cash from online share trading accounts at some of Australia’s biggest brokers, including Morgan Stanley and Commsec. A joint operation by ... Read More
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ASIC releases enforcement report for the first half of 2015

05/08/2015(0)
ASIC today released its enforcement report for the period 1 January 2015 to 30 June 2015 In the last six months, ASIC achieved 323 enforcement outcomes to protect financial ... Read More
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ASIC takes civil action against two for unlicensed financial services business

30/07/2015(0)
ASIC has commenced civil proceedings in the Supreme Court of Queensland against Dr Roger Gareth Munro and Mrs Kathleen Susan Munro. ASIC is seeking declarations and other orders in ... Read More
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ASIC bans former director of Provident Capital Limited

28/07/2015(0)
ASIC has banned Mr Trevor John Seymour, a former director of Provident Capital Limited (Provident Capital), from managing corporations for three years and providing financial services for three years. ... Read More
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ASIC bans former GTL Tradeup Pty Ltd director

23/07/2015(0)
Mr Andrew Jeffers, a Certified Practising Accountant from Sydney, NSW, has been banned from providing any financial services until 21 May 2018. Mr Jeffers was banned after ASIC found that ... Read More
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ASIC: Update on Interactive Brokers

03/07/2015(0)
ASIC today provided an update on its regulation of US-based online brokerage firm Interactive Brokers LLC (IB). Enforceable undertaking (EU) IB has refunded $1.5 million in fees and commission ... Read More
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