ASIC

ASIC_regulator

ASIC reports on supervision of registered liquidators for 2016

22/06/2017(0)
ASIC today released its sixth annual report into the supervision of registered liquidators. Report 532 ASIC regulation of registered liquidators: January to December 2016 details the supervisory, enforcement, stakeholder ... Read More
ASIC_regulator

UBS Securities pays penalties

15/06/2017(0)
UBS Securities pays $280,000 in infringement notice penalties UBS Securities Australia Limited (‘UBS’) has paid penalties totalling $280,000 to comply with two infringement notices given to it by the ... Read More
FinTech photo

Hong Kong and Australia seal agreement on fintech cooperation

13/06/2017(0)
The Hong Kong Securities and Futures Commission (‘the SFC’) and ASIC today signed an Agreement on fintech cooperation which provides a framework for cooperation to support and understand financial ... Read More
ASIC_regulator

Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

09/06/2017(0)
Citigroup Global Markets Australia Pty Ltd (‘Citigroup’) has paid a penalty of $50,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (‘MDP’). The ... Read More
ASIC_regulator

Former financial planner of Westpac banned for five year

08/06/2017(0)
ASIC has banned Mr Sudhir Kumar Sinha, a financial planner from Western Australia, from providing financial services until 2 June 2022. Mr Sinha was an employed representative of Westpac ... Read More
ASIC_regulator

ASIC Cancels the Financial Services License of a Firm

07/06/2017(0)
ASIC has cancelled the Australian financial services (AFS) licence of Sydney based company Investment Advisers Alliance Pty Limited (AFS 237902) for failing to lodge its financial statements and auditor’s ... Read More
ASIC_regulator

Court orders winding up of Macro Group companies

31/05/2017(0)
The Federal Court of Australia has ordered that Macro Realty Developments Pty Ltd, Macro Realty Developments AFSL Pty Ltd, Macro All State Investments and Securities Ltd, Pilbara Property Developments ... Read More
ASIC_regulator

ASIC cancels Gallop International’s Australian financial services licence

29/05/2017(0)
ASIC has cancelled the Australian financial service licence (AFS) licence of Gallop International Group Pty Ltd, formerly known as Weather Pro Exchange Pty Ltd (ACN 147 664 551) (Gallop). The cancellation ... Read More
ASIC_regulator

ASIC proposes next steps on regtech

26/05/2017(0)
ASIC will establish a new regtech industry liaison network, conduct a number of new technology trials using regtech applications and establish a ‘hackathon’ later this year to help identify ... Read More
ASIC_regulator

ASIC suspended Firm’s financial services licence

23/05/2017(0)
Australian financial services licence suspended for failing to lodge financial statements ASIC has suspended the Australian financial services (AFS) licence of NSW-based Divitiarum Audax Pty Limited (‘Divitiarum Audax’) from ... Read More
Broker Cyprus TopFX