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ASIC

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Australia Regulator Blocks Interactive Brokers’ Currency Trading

25/06/2015(0)
Australia’s securities regulator told Interactive Brokers Group Inc. to stop offering over-the-counter currency trading, saying the company doesn’t have the right license to operate in the nation. The Australian ... Read More
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Cold calling firm FXTS Guru cut off following ASIC concerns

18/06/2015(0)
A cold-calling operation promoting FX and binary option products to investors worldwide has agreed to stop contacting Australian investors following ASIC concerns. The outcome is part of ASIC’s ongoing ... Read More
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Macquarie Investment Management to refund clients after review of system errors

17/06/2015(0)
Macquarie Investment Management Limited (Macquarie) is due to refund over $5.5 million to around 2,300 clients affected by system errors. The errors occurred between 2001 and 2014, on a ... Read More
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Two Sydney men convicted of insider trading

15/06/2015(0)
Two Sydney men, including a former analyst with ratings agency Moody’s, were today convicted of insider trading. In December 2014 Daniel Joffe, of Vaucluse, and Nathan Stromer, of Bondi, ... Read More
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ASIC suspends BBY Ltd’s AFS licence

28/05/2015(0)
ASIC has suspended the Australian financial services (AFS) licences held by BBY Ltd, BBY Advisory Services Pty Ltd, and SmarTrader Limited. Importantly, the terms of the suspension allow the ... Read More
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Alleged Ponzi scheme operator faces court

26/05/2015(0)
Following an ASIC investigation, an Adelaide man has faced court accused of deception totalling $12 million. Former mortgage broker Michael Samra faced Adelaide Magistrates Court on 22 May 2015 ... Read More
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ASIC releases first licensing activity report

20/05/2015(0)
ASIC today published its first report on its approach to licence applications to help inform businesses and individuals wanting to provide financial services or credit, or register as a ... Read More
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ASIC blocks forex broker’s IPO

14/05/2015(0)
The corporate watchdog has blocked the potential float of an online foreign exchange broker, FX Primus, as concerns mount about the prevalence of brokers setting up shop in Australia ... Read More
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ASIC: ICAP Futures (Australia) Pty Ltd pays $50,000 infringement notice penalty

14/05/2015(0)
ICAP Futures (Australia) Pty Ltd (ICAP)has paid a total penalty of$50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP  found it ... Read More
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ASIC cancels FX company’s licence

12/05/2015(0)
Following an investigation, ASIC has cancelled the Australian financial services (AFS) licence of FX provider Rainbow Legend Group Pty Ltd (Rainbow Legend) for failing to comply with its obligations, ... Read More
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