ASIC News

ASIC bans financial adviser for 5 years
ASIC bans financial adviser for 5 years
The Australian Securities and Investments Commission (ASIC) announced that it has banned Perth-based financial adviser Philip Leake from providing financial ser...
Company News 20 hours ago
ASIC bans former Charter Financial Planning adviser
ASIC bans former Charter Financial Planning adviser
ASIC announced that it has permanently banned Brenton John Poynter of Baulkham Hills, NSW, from providing financial services. Mr Poynter was an authorised repr...
Company News 2 days ago
ASIC accepts enforceable undertakings from two directors
ASIC accepts enforceable undertakings from two directors
ASIC announced that it has accepted enforceable undertakings (EUs) from Sydney-based directors Frank Tearle and Justin Epstein following an investigation of the...
Company News 4 days ago
ASIC disqualifies director from managing companies for five years
ASIC disqualifies director from managing companies for five years
ASIC announced that it has disqualified Mr Peter Kalos of Kurnell, NSW, from managing companies for the maximum period of five years as a result of his involvem...
Company News 5 days ago
New professional standards for financial advisers now available on ASIC website
New professional standards for financial advisers now available on ASIC website
The Australian Securities and Investments Commission (ASIC) announced that it has created a new section on its website to help financial advisers navigate the i...
Company News 2 weeks ago (02-13)
FX brokers AGM Markets, OTCapital and Ozifin have assets frozen in ASIC crackdown
FX brokers AGM Markets, OTCapital and Ozifin have assets frozen in ASIC crackdown
Continuing its efforts to clean up the Retail FX sector in Australia, ASIC has issued a warning to the public not to deal with any of the following entities in...
Company News 2 weeks ago (02-13)
ASIC removes license conditions imposed on OpenMarkets Australia Limited
ASIC removes license conditions imposed on OpenMarkets Australia Limited
ASIC and OpenMarkets Australia Limited (OpenMarkets) have agreed to the removal of additional license conditions imposed on OpenMarkets on 10 July 2017, the Reg...
Company News 3 weeks ago (02-02)
ASIC commences civil penalty proceedings against Commonwealth Bank of Australia
ASIC commences civil penalty proceedings against Commonwealth Bank of Australia
ASIC announced that it has today commenced legal proceedings in the Federal Court in Melbourne against the Commonwealth Bank of Australia (CBA) for unconscionab...
Company News 4 weeks ago (01-30)
ASIC removes Ava Securities Pty Ltd from financial services industry for 10 years
ASIC removes Ava Securities Pty Ltd from financial services industry for 10 years
Mr Daniel Panrucker, formerly of Balmain New South Wales, but resident in the United Kingdom since January 2016, has entered into an Enforceable Undertaking (EU...
Company News 4 weeks ago (01-29)
ASIC takes action against payday lending companies for unpaid fines
ASIC takes action against payday lending companies for unpaid fines
ASIC just announced that it has commenced proceedings for recovery of unpaid fines against Fast Access Finance Pty Ltd, Fast Access Finance (Beenleigh) Pty Ltd...
Company News 4 weeks ago (01-25)
ANZ and ASIC reach settlement on suspected third party frauds
ANZ and ASIC reach settlement on suspected third party frauds
ANZ today announced it is filing joint court submissions with the Australian Securities and Investments Commission (ASIC) on an agreed settlement for a number o...
Company News 1 months ago (01-18)
ASIC bans former Commonwealth Financial Planning adviser for 5 years
ASIC bans former Commonwealth Financial Planning adviser for 5 years
ASIC announced that it has banned Kimberley Holgate, of Wagga Wagga, NSW, from providing financial services for five years. Ms Holgate was an authorised repres...
Company News 1 months ago (01-18)
ASIC accepts voluntary license variation from HLB Mann Judd Corporate Finance
ASIC accepts voluntary license variation from HLB Mann Judd Corporate Finance
ASIC just informed that it has accepted a voluntary variation of the Australian financial services (AFS) license of HLB Mann Judd Corporate Finance Pty Ltd, exc...
Company News 1 months ago (01-17)
ASIC acts against Melbourne-based financial services and credit business
ASIC acts against Melbourne-based financial services and credit business
The Federal Court of Australia informed that it has made interim orders restraining Financial Circle Pty Ltd (Financial Circle) from engaging in a number of act...
Company News 1 months ago (01-12)
ASIC permanently bans a representative for Futuro Financial Services
ASIC permanently bans a representative for Futuro Financial Services
ASIC announced that it has permanently banned Mr Robert Pryor Smith, of West Lakes, South Australia from providing financial services on the basis that he is no...
Company News 1 months ago (01-12)
Seven Australia crowdfunding sites receive ASIC license
Seven Australia crowdfunding sites receive ASIC license
The Australian Securities and Investments Commission (ASIC) informed that it has licensed the first crowd-sourced funding (CSF) intermediaries under the new CSF...
Company News 1 months ago (01-11)
ASIC permanently bans South Australian financial adviser
ASIC permanently bans South Australian financial adviser
ASIC announced that it has permanently banned Mr David Mario Alafaci, of Morphett Vale, South Australia from providing financial services on the basis that he i...
Company News 2 months ago (01-04)
ASIC cancels AFS license of Smart Trader International
ASIC cancels AFS license of Smart Trader International
ASIC announced that it has cancelled the Australian financial services (AFS) license of NSW-based company Smart Trader International Pty Ltd (AFS 475277) for fa...
Company News 2 months ago (01-04)
Investigation into the Macro Group leads ASIC to cancel the license of Anquan Securities & Investments
Investigation into the Macro Group leads ASIC to cancel the license of Anquan Securities & Investments
ASIC announced that it has cancelled the Australian financial services (AFS) license of West Australia-based Anquan Securities & Investments Pty Ltd (Anquan...
Company News 2 months ago (12-14)
ASIC broadens fintech cooperation with Canadian regulators
ASIC broadens fintech cooperation with Canadian regulators
ASIC has today announced a Cooperation Agreement with Canadian regulators on fintech cooperation. This agreement expands the existing framework for information...
Company News 2 months ago (12-12)
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