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Australian Financial Regulator

ASIC_regulator

ASIC charges GAIN Capital employee with dishonest use of his position

16/12/2016(0)
Following an ASIC investigation, Mr Shun Yuen Ken Li (also known as Leo Lee), of Roseville Chase, New South Wales has pleaded guilty in the Downing Centre Local Court ... Read More
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Financial adviser banned for price manipulation of MINI warrants issued by Credit Suisse

10/11/2016(0)
On 8 September 2016, ASIC banned Michael Spencer, formerly a financial adviser, from providing financial services for three years. ASIC found that Mr Spencer engaged in manipulation of the ... Read More
ASIC_regulator

ASIC: IronFX corrects disclosure about Australian regulation and counterparty arrangements

17/12/2015(0)
The Australian Securities and Investments Commission has issued an announcement to inform that: Following concerns raised by ASIC, retail OTC derivative issuer, IronFX Global Australia Pty Ltd (IronFX Australia) ... Read More
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ASIC publishes results of new reviews of high-frequency trading and dark liquidity

26/10/2015(0)
The Australian Securities and Investment Commission has released today a report of new reviews of high-frequency trading and dark liquidity. The report examining the impact of high-frequency trading on ... Read More
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ASIC seeks court orders to wind up Management Firm of Investment Schemes

16/09/2015(0)
The Australian Securities & Investments Commission (ASIC) has issued a media release to inform that the Commission seeks court orders to wind up Avestra Asset Management. According the Commissions’s ... Read More
ASIC_regulator

ASIC has suspended the Australian financial services (AFS) licence of FX provider AGM Markets Pty Ltd (AGM)

02/04/2015(0)
Following an investigation, ASIC has suspended the Australian financial services (AFS) licence of FX provider AGM Markets Pty Ltd (AGM). The move is part of ASIC’s ongoing crackdown on ... Read More
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