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ASIC

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ASIC takes civil action against LM founder and former directors

20/11/2014(0)
ASIC has started legal action against LM Investment Management Ltd (LMIM) founder, Peter Charles Drake, and former directors, seeking financial penalties and banning orders following the collapse of the ... Read More
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ASIC shuts down unlicensed FX business and removes its director from the industry

20/11/2014(0)
ASIC has taken action in the NSW Supreme Court to permanently shut down unlicensed foreign exchange (FX) business, Vault Market Pty Ltd (Vault Market), and to remove its sole ... Read More
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ASIC issues warning about unlicensed FX dealer YoutradeFX

19/11/2014(0)
ASIC has today cautioned Australian investors against dealing with the company or group YoutradeFX for trading in margin foreign exchange (FX). ASIC advises that YoutradeFX is not regulated by ... Read More
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ASIC proposes to cut red tape and encourage more electronic disclosure

14/11/2014(0)
ASIC is seeking feedback on proposals to make it easier for businesses to deliver financial services disclosures electronically while preserving choice for consumers. Our proposals also encourage the use ... Read More
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AAT Corporation Limited fined for failing to lodge financial reports

13/11/2014(0)
Australian public company, AAT Corporation Limited, has been convicted and fined $27,000 for failing to lodge annual and half-yearly financial reports. AAT Corporation Limited was charged by the Australian ... Read More
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ASIC announces financial report

07/11/2014(0)
ASIC today announced its areas of focus for 31 December 2014 financial reports of listed entities and other entities of public interest with many stakeholders. ‘Directors and auditors should ... Read More
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Trident Investment Management Pty Ltd pays $10,200 penalty

06/11/2014(0)
Trident Investment Management Pty Ltd (Trident), the Australian financial services representative for Australian Mutual Holdings Limited (AMH), has paid $10,200 in penalties after ASIC issued an infringement notice for ... Read More
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Australian man jailed following $260,000 fraud

31/10/2014(0)
ASIC jailed today a New South Wales Central Coast man for 18 months, for committing a $260,000 fraud. William John Jones, of Blue Haven, pleaded guilty in April 2014 ... Read More
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ASIC’s Strategic Outlook 2014-15

20/10/2014(0)
ASIC today published its Strategic Outlook for 2014–15. ASIC’s Strategic Outlook sets out the key risks ASIC sees to the markets it regulates, and how ASIC will respond – ... Read More
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Biron Apparel Limited fined for failing to lodge financial reports

15/10/2014(0)
Australian public company, Biron Apparel Limited (Biron Apparel), has been convicted a second time for failing to lodge financial reports with ASIC, the Australian regulator, and hold annual general ... Read More
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