ASIC News

ASIC cancels Dover Financial Advisers’ AFS license
ASIC cancels Dover Financial Advisers’ AFS license
On 28 June 2018, ASIC accepted a Court Enforceable Undertaking from Melbourne-based Dover Financial Advisers Pty Ltd and its sole director, Mr Terry McMaster. M...
Company News 3 weeks ago (06-29)
ASIC disqualifies former director of Walton Construction
ASIC disqualifies former director of Walton Construction
Australian regulator ASIC has announced that it has disqualified Mr Craig Hall Walton of East Melbourne, Victoria, from managing companies for four years as a r...
Company News 3 weeks ago (06-29)
ASIC bans financial adviser for 4 years
ASIC bans financial adviser for 4 years
Australian regulator ASIC has announced that it has banned financial adviser Mr Graeme Ashley Cowper, of Oatley, NSW, from providing financial services for 4 ye...
Company News 3 weeks ago (06-28)
ASIC review: 80% of Binary Options traders lose money, CFDs – 72%, FX – 63%
ASIC review: 80% of Binary Options traders lose money, CFDs – 72%, FX – 63%
Australia financial regulator ASIC has issued what amounts to a warning to FX, CFD and Binary Options brokers in the country to clean up their act, in a release...
Company News 3 weeks ago (06-28)
ASIC bans former financial advisor and consultant for seven years
ASIC bans former financial advisor and consultant for seven years
Australian regulator ASIC has just announced that it has banned Mark Damion Kawecki of Frankston, Victoria from providing financial services for seven years. T...
Company News 3 weeks ago (06-27)
ASIC imposes license conditions on Aurora Funds Management Limited
ASIC imposes license conditions on Aurora Funds Management Limited
Australian regulator ASIC informed the public that it has acted to address concerns about the operations of Aurora Funds Management Limited (Aurora), the respon...
Company News 3 weeks ago (06-26)
ASIC accepts court enforceable undertaking from Vantage Global Prime to address systems and controls inadequacies within its CFD business
ASIC accepts court enforceable undertaking from Vantage Global Prime to address systems and controls inadequacies within its CFD business
Australia financial regulator ASIC has announced that it has accepted a court enforceable undertaking from Vantage Global Prime, to address systems and controls...
Company News 3 weeks ago (06-25)
ASIC enhances its enforcement toolkit beyond Australia’s borders
ASIC enhances its enforcement toolkit beyond Australia’s borders
Australian regulator ASIC has announced that it has become one of the first signatories to the IOSCO Enhanced Multilateral Memorandum of Understanding Concernin...
Company News 4 weeks ago (06-22)
ASIC cancels Cairns liquidator’s registration
ASIC cancels Cairns liquidator’s registration
The registration of Mr Justin James Cadman as a registered liquidator was cancelled on 13 June 2018 following orders made on 8 June 2018 in the Federal Circuit...
Company News 4 weeks ago (06-20)
ASIC restricts Henry Morgan Limited from issuing a reduced content prospectus
ASIC restricts Henry Morgan Limited from issuing a reduced content prospectus
Australian regulator ASIC has announced that it has restricted Henry Morgan Limited (HML) from eligibility to issue a reduced-content prospectus until 8 June 20...
Company News 4 weeks ago (06-19)
ASIC permanently bans former credit representative
ASIC permanently bans former credit representative
Australian regulator ASIC has announced that it has permanently banned former credit representative Mr Colin William Hulbert, of Cairns, Queensland, from engagi...
Company News 1 months ago (06-18)
ASIC charges former financial adviser with dishonest conduct
ASIC charges former financial adviser with dishonest conduct
Former financial adviser, Gabriel Nakhl, was convicted in the District Court of New South Wales on 8 June 2018 on 8 charges brought by ASIC of engaging in disho...
Company News 1 months ago (06-18)
ASIC launches civil penalty proceedings against former Quintis managing director
ASIC launches civil penalty proceedings against former Quintis managing director
Australian regulator ASIC has informed the public that it has commenced civil penalty proceedings in the Federal Court of Australia against Frank Cullity Wilson...
Company News 1 months ago (06-15)
ASIC reports on decisions to cut red tape
ASIC reports on decisions to cut red tape
Australian regulator ASIC has just released its latest report outlining decisions on relief applications, highlighting ASIC’s efforts to reduce red-tape and ach...
Company News 1 months ago (06-15)
ASIC to ensure registered liquidators comply with obligations
ASIC to ensure registered liquidators comply with obligations
An ASIC review has found that while registered liquidators are mostly doing the right thing when complying with their lodgement and publication obligations, the...
Company News 1 months ago (06-13)
ASIC implements financial benchmark regulatory regime
ASIC implements financial benchmark regulatory regime
Australian regulator ASIC announced that it has today finalised and published benchmarks rules, a significant benchmarks declaration, and a regulatory guide in...
Company News 1 months ago (06-12)
ASIC permanently bans former NAB financial adviser
ASIC permanently bans former NAB financial adviser
Australian regulator ASIC has announced that it has permanently banned Mr Max Kiattisak Eung (also known as Kiattisak Eungpongpan), of Tempe, New South Wales fr...
Company News 1 months ago (06-08)
ASIC suspends AFS license of Vesta Living Communities
ASIC suspends AFS license of Vesta Living Communities
The Australian Securities and Investments Commission (ASIC) announced that it has suspended the Australian financial services (AFS) license of Vesta Living Comm...
Company News 1 months ago (06-07)
ASIC permanently bans individual from providing financial services
ASIC permanently bans individual from providing financial services
ASIC has just informed the public that it has permanently banned Desiree Veronica Macpherson from providing financial services. ASIC found that in relation to...
Company News 1 months ago (06-05)
ASIC cancels AFS licenses of BBY Advisory and SmarTrader
ASIC cancels AFS licenses of BBY Advisory and SmarTrader
Australian regulator ASIC has announced that it has cancelled the Australian financial services (AFS) licenses held by SmarTrader Limited (SmarTrader) and BBY A...
Company News 1 months ago (06-05)
About FXYEAH | Broker Listing | Contribute | Contact Us | Sitemap | TagCloud
Disclaimer: All contents of site are only for your reference, don't suggest you do any investment decision, you should be responsible for your decision.