Search Results for: Australian Securities and Investments Commission (ASIC)
ASIC permanently bans jailed company director from credit and financial services industries
August 22nd, 2017
The Australian Securities and Investments Commission (ASIC) has issued today a press release to inform that Mr Gavin Keith Hyland has been permanently banned from engaging in credit activities or providing financial services. Mr Hyland was banned following his recent ...
ASIC and Ontario Securities Commission sign agreement to support fintech companies
November 3rd, 2016
Innovative fintech companies in Australia and Ontario, Canada will be able to draw on support from the combined resources of their financial regulators as they seek to operate in the others’ market, under a new agreement. Under the agreement, signed ...
British and Australian financial regulators sign agreement to support innovative businesses
March 23rd, 2016
Under a new world-first agreement, innovative fintech companies in Australia and the United Kingdom will have more support from financial regulators as they attempt to enter the others’ market. As a result of the agreement signed today, the UK’s Financial ...
CFTC extends conditional relief for Australian-based trading platform Yieldbroker
October 16th, 2015
The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) today announced it has issued a no-action letter extending conditional time-limited relief for Australian-based trading platform Yieldbroker Pty Limited (Yieldbroker). This no-action letter will allow Yieldbroker additional ...
ASIC Australia bans a broker and a former financial adviser from providing financial services
September 8th, 2015
The Australian Securities & Investments Commission (ASIC), has issued a press release to inform in relation to its decision to ban broker Mr. Raghwa Nand Prasad from providing financial services and from engaging in credit activities for four years ...
ESMA and RBA conclude MoU on access to data held in trade repositories
March 6th, 2015
The European Securities and Markets Authority (ESMA) and the Reserve Bank of Australia (RBA) have concluded a Memorandum of Understanding (MoU) that will allow RBA to have access to data held in European Trade repositories according to its mandate. The MoU ...
ESMA and Australian Securities and Investment Commission (ASIC) sign MoU on trade repository data
December 4th, 2014
The European Securities and Markets Authority (ESMA) and the Australian Securities and Investments Commission (ASIC) have concluded a Memorandum of Understanding (MoU) on access to data held in European trade repositories . The MoU is effective as of 26 November 2014. The ...
ESMA to cooperate with regional regulators on Australian CCPs
December 4th, 2014
The European Securities and Markets Authority (ESMA), the Australian Securities and Investments Commission (ASIC) and the Reserve Bank of Australia (RBA) have concluded a Memorandum of Understanding (MoU). The MoU establishes cooperation arrangements between the signatory authorities regarding Central Counterparties ...
SpotOption partners with ASIC Regulated Binary Brand
August 26th, 2014
SpotOption – headquartered in Cyprus – has entered into a partnership with the youtradeFX Group in facilitating the launch of the latter’s new Australian binary options brand. All online traffic to the Australian offshoot of the group (www.ytfx.com.au) is ...
Australian day trader was jailed for manipulation of CFDs
June 17th, 2014
The Australian Securities and Investments Commission (ASIC) has today sentenced Kristoffer John Watts from New South Wales, to two years in jail for market manipulation. Kristoffer John Watts, a day-trader living in Casuarina, New South Wales, pleaded guilty in April 2014 ...
