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Australian financial services

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
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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
ASIC_regulator

ASIC imposes licence condition on OpenMarkets Australia Limited

13/12/2016(0)
ASIC has imposed additional conditions on the Australian financial services licence of OpenMarkets Australia Limited (OpenMarkets). This action follows surveillance activities which identified concerns in OpenMarkets’: arrangements for identifying ... Read More
ASIC_regulator

Cash Converters to pay over $12M following ASIC probe

09/11/2016(0)
Following an ASIC investigation, payday lender Cash Converters will refund $10.8 million to consumers who received small amount loans under approximately 118,000 small amount credit contracts. Cash Converters has ... Read More
ASIC_regulator

ASIC reports on Australian Financial Services and other licensing activity

24/09/2015(0)
The Australian Securities & Investment Commission has issued today its second report in relation on its approach to license activity and applications. Report 448 Overview of licensing and professional ... Read More
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Trident Investment Management Pty Ltd pays $10,200 penalty

06/11/2014(0)
Trident Investment Management Pty Ltd (Trident), the Australian financial services representative for Australian Mutual Holdings Limited (AMH), has paid $10,200 in penalties after ASIC issued an infringement notice for ... Read More
ASIC_regulator

ASIC to impose licence conditions on two Commonwealth Bank financial planning businesses

16/05/2014(0)
The Australian Securities and Investment Commissions (ASIC) has announced that it will impose, by agreement, licence conditions on the Australian financial services licences of two financial planning businesses owned ... Read More
ASIC_regulator

ASIC cancels Parramatta insurance broker’s AFS licence

24/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has cancelled the Australian financial services (AFS) licence of Parramatta-based insurance broker, WD Gelle Insurance & Finance Brokers Pty Ltd. The company’s ... Read More
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