ASIC News

ASIC permanently bans financial adviser
ASIC permanently bans financial adviser
The Australian Securities and Investments Commission (ASIC) announced that it has permanently banned financial adviser Ezzat-Daniel Nesseim from providing finan...
Company News 5 days ago
ASIC cancels AFS license of Wealth & Risk Management
ASIC cancels AFS license of Wealth & Risk Management
Australian regulator ASIC announced that it has cancelled the Australian financial services (AFS) license of Wealth & Risk Management Pty Ltd (WRM). On 9 Fe...
Company News 6 days ago
ASIC consults on code of ethics compliance schemes for financial advisers
ASIC consults on code of ethics compliance schemes for financial advisers
The Australian Securities and Investments Commission (ASIC) announced that it has released a consultation paper outlining its proposed approach to approving and...
Company News 1 weeks ago (05-15)
ASIC consults on short selling proposals
ASIC consults on short selling proposals
Australia regulator ASIC announced that it is seeking feedback on various proposals relating to both naked and covered short selling. ASIC’s public consultatio...
Company News 1 weeks ago (05-14)
ASIC to disqualify NSW financial adviser
ASIC to disqualify NSW financial adviser
ASIC announced that it has commenced proceedings in the Federal Court of Australia against New South Wales financial adviser Graeme Walter Miller and three rela...
Company News 2 weeks ago (05-08)
ASIC revises licensing regime for market operators
ASIC revises licensing regime for market operators
Australian regulator ASIC announced today that it has modernised and updated its regulatory guidance on the licensing regime for financial markets. Regulatory...
Company News 3 weeks ago (05-04)
ASIC disqualifies Western Australian SMSF auditor
ASIC disqualifies Western Australian SMSF auditor
Australian regulator ASIC announced that it has disqualified Paul Tattersall, of Western Australia, from being an approved auditor of self-managed superannuatio...
Company News 3 weeks ago (05-03)
ASIC permanently bans former authorised representative from providing financial services
ASIC permanently bans former authorised representative from providing financial services
ASIC announced that it has permanently banned Queensland financial adviser Mr Michael Gordon Taylor from providing financial services. Mr Taylor was an authoris...
Company News 3 weeks ago (05-03)
ASIC welcomes AFCA authorisation
ASIC welcomes AFCA authorisation
Australian regulator ASIC announced that it welcomes the authorisation by the Minister for Revenue and Financial Services of the operator of the new single exte...
Company News 3 weeks ago (05-02)
ASIC cancels the registration of 117 SMSF auditors
ASIC cancels the registration of 117 SMSF auditors
Australian regulator ASIC has just announced that it cancelled the registration of 117 approved self-managed superannuation fund (SMSF) auditors who did not lod...
Company News 3 weeks ago (05-02)
ASIC charges Rio Tinto Limited and former CEO and CFO
ASIC charges Rio Tinto Limited and former CEO and CFO
ASIC has expanded its legal proceedings recently filed in the Federal Court in Sydney against Rio Tinto Limited (RTL) and its former Chief Executive Officer, Mr...
Company News 3 weeks ago (05-02)
Australia regulator ASIC takes action on misleading conduct in ICOs
Australia regulator ASIC takes action on misleading conduct in ICOs
Australia financial regulator ASIC has issued a statement indicating that it is focused on misleading or deceptive conduct in the marketing and selling of digit...
Company News 3 weeks ago (05-01)
Australia FX broker DirectFX suspended by ASIC for compliance failures
Australia FX broker DirectFX suspended by ASIC for compliance failures
The Australian Securities and Investments Commission (ASIC) has just announced that it has suspended the Australian financial services (AFS) license of Direct F...
Company News 4 weeks ago (04-26)
ASIC releases guidance on AFS licensing exemption for tax and BAS agents
ASIC releases guidance on AFS licensing exemption for tax and BAS agents
The Australian Securities and Investments Commission (ASIC) has announced that it has updated its guidance for accountants who provide services on self-managed...
Company News 4 weeks ago (04-26)
ASIC and Australian Government Department of Jobs and Small Business sign MoU
ASIC and Australian Government Department of Jobs and Small Business sign MoU
The Australian Securities and Investments Commission (ASIC) and the Australian Government Department of Jobs and Small Business (DJSB) have today announced the...
Company News 4 weeks ago (04-23)
ASIC charges NSW director with unlicensed financial services business
ASIC charges NSW director with unlicensed financial services business
Mr Senen Pousa, of Byron Bay, was today sentenced in the Brisbane District Court on charges brought by ASIC. Mr Pousa was sentenced after earlier pleading guil...
Company News 1 months ago (04-18)
ASIC bans former financial adviser for dishonest conduct
ASIC bans former financial adviser for dishonest conduct
ASIC has announced that it has permanently banned Mr Grant Desmond Taylor, of Montmorency, Victoria from providing financial services after finding he engaged i...
Company News 1 months ago (04-18)
ASIC bans former Suncorp Financial Services financial adviser
ASIC bans former Suncorp Financial Services financial adviser
ASIC has announced that it has banned Queensland financial adviser Gerald Grubwinkler from providing financial services for four years. ASIC found that Mr Grubw...
Company News 1 months ago (04-18)
ASIC charges former financial adviser charged with dishonesty
ASIC charges former financial adviser charged with dishonesty
Following an ASIC investigation, former financial adviser Mr Trevor William Martin, has today been charged with twenty-one counts of dishonestly obtaining clien...
Company News 1 months ago (04-17)
ASIC appoints provisional liquidator to Nangus Group of companies
ASIC appoints provisional liquidator to Nangus Group of companies
ASIC has announced that it has obtained orders from the Supreme Court of Queensland appointing Mr Richard Hughes and Mr David Orr of Deloitte as provisional liq...
Company News 1 months ago (04-17)
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