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ASIC

ASIC_regulator

ASIC bans Sydney finance broker and cancels licence

07/05/2015(0)
ASIC has banned a Sydney finance broker from engaging in credit activities for three years and cancelled her Australian credit licence. An ASIC investigation found that Ms Siv Lim ... Read More
ASIC_regulator

ASIC cancels AFS licences for failing to lodge annual statements

05/05/2015(0)
ASIC has cancelled the Australian financial services (AFS) licences of four licensees that failed to lodge audited annual statements. These cancellations are the result of ASIC’s most recent proactive ... Read More
ASIC_regulator

Former Wickham Securities CEO charged

30/04/2015(0)
The former CEO of collapsed debenture issuer Wickham Securities Ltd today faced court charged with various offences, including fraud, following an ASIC investigation. Garth Peter Robertson, 49, of Brisbane, ... Read More
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ASIC: FC Stone Australia Pty Ltd pays $130,000 infringement notice penalty

28/04/2015(0)
FC Stone Australia Pty Ltd (“FC Stone”) has paid a total penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). ... Read More
ASIC_regulator

FX broker Advanced Markets clarifies its AFS licence

24/04/2015(0)
Following concerns raised by ASIC, Advanced Markets Ltd (Advanced Markets) has agreed to make changes to its website (www.advancedmarketsfx.com). The changes relate to statements which may have been misunderstood ... Read More
ASIC_regulator

ASIC issued a statement regarding Australian Dollar movement

07/04/2015(0)
At its meeting today, the Board of the Reserve Bank of Australia decided to leave the cash rate unchanged at 2.25 per cent. Following the RBA’s announcement, ASIC has ... Read More
ASIC_regulator

ASIC has suspended the Australian financial services (AFS) licence of FX provider AGM Markets Pty Ltd (AGM)

02/04/2015(0)
Following an investigation, ASIC has suspended the Australian financial services (AFS) licence of FX provider AGM Markets Pty Ltd (AGM). The move is part of ASIC’s ongoing crackdown on ... Read More
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ASIC issues warning about Grandegoldens

30/03/2015(0)
ASIC cautions Australian investors in the retail foreign exchange industry in regard to dealing with a company named Grandegoldens Pty Ltd (ACN 080 952 245). ASIC has become aware ... Read More
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ASIC bans finance broker and cancels Australian Credit Licence

23/03/2015(0)
ASIC has banned Victorian finance broker Ms Meenakshi Devi Callychurn from engaging in credit activities for five years, and cancelled the Australian credit licence of her company Unique Mortgage ... Read More
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UBS faces ASIC scrutiny over privatisation report

23/03/2015(0)
Investment firm UBS is facing scrutiny from ASIC over an altered report on the NSW government’s electricity privatisation plans. A report, originally titled “Bad for the budget, good for ... Read More
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