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ASIC

ASIC_regulator

ASIC bans finance broker and cancels Australian Credit Licence

20/03/2015(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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ASIC: Two men sentenced in Australia’s largest insider trading case

17/03/2015(0)
Joint media release with The Hon Josh Frydenberg, Assistant Treasurer and The Hon Kelly O’Dwyer, Parliamentary Secretary to the Treasurer Two men were sentenced to jail terms of 7 ... Read More
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ASIC facilitates foreign financial service providers applying for exemptions

13/03/2015(0)
ASIC is clarifying the documentation foreign financial services providers should provide to it when applying for class order exemptions to conduct business in Australia to facilitate an easier application ... Read More
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ASIC issues stop order on pre-prospectus publications by Bitcoin Group Limited

13/02/2015(0)
ASIC has placed a stop order prohibiting Bitcoin Group Limited (a proposed Bitcoin ‘miner’ in Australia) from publishing any statements concerning its intention to make an initial public offering ... Read More
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ASIC investigation leads to Interactive Brokers refunding $1.5 million to Australian customers

16/12/2014(0)
Following an investigation by ASIC, Interactive Brokers LLC (IB), a US-based online brokerage firm, will refund approximately $1.5 million in fees and commission payments to its retail margin lending ... Read More
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ASIC surveillance prompts FX provider to enhance compliance procedures

08/12/2014(0)
Following an ASIC surveillance, Calibre Investments Pty Ltd will implement changes to the way it offers FX services to retail clients. The move is part of ASIC’s crackdown on ... Read More
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Prime Trust directors disqualified and fined

02/12/2014(0)
The Federal Court today delivered its penalty judgment against 5 former directors of Australian Property Custodian Holdings Ltd (APCHL) who breached their directors’ duties by making an illegal related ... Read More
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ASIC takes civil action against Make It Mine

26/11/2014(0)
ASIC has started legal action against Make It Mine Pty Ltd (MIM), seeking financial penalties against the company for breaching consumer credit laws, including the responsible lending obligations. ASIC’s ... Read More
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Asic announce cancellation of credit licence and bans director

25/11/2014(0)
ASIC has cancelled the Australian credit licence (credit licence) of Net Finance (Corp) Pty Ltd (Net Finance) and banned its director, Mr Graham Tandy, from the credit industry for ... Read More
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Former financial adviser jailed for two years

21/11/2014(0)
A former Perth-based financial adviser today was jailed for two years for stealing almost $1.5 million worth of shares. Todd Michael King was sentenced to two years jail and ... Read More
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