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ASIC

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iSignthis released a letter to Shareholders – Update

17/06/2020(0)
Below is a letter to Shareholders – Update as it was released by iSignthis: Dear Stakeholder Today the ASX released yet another one side letter, without allowing the Company to ... Read More
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iSignthis released Shareholder Update

13/11/2019(0)
The Australian Securities and Investments Commission (“ASIC”) has confirmed in writing that it did not request the suspension of iSignthis securities (ASX: ISX | FRA: TA8) (“the Company”), and ... Read More
ASIC_regulator

The AFS licence of the retail OTC derivative issuer AGM Markets cancelled

14/11/2018(0)
The Australian Securities & Investments Commission (ASIC) has issued an announcement to inform that ASIC has cancelled the Australian financial services (AFS) licence of the retail OTC derivative issuer, ... Read More
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U.S. and Australian financial regulators sign FinTech Cooperation Arrangement

08/10/2018(0)
The U.S. Commodity Futures Trading Commission (CFTC) and the Australian Securities and Investments Commission (ASIC) signed an arrangement to cooperate and support innovation through each other’s financial technology (FinTech) ... Read More
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South Australian day trader sentenced for market manipulation

11/04/2018(0)
Stefan Mark Boitcheff of South Australia, has been convicted and sentenced after pleading guilty to two market manipulation-related charges in the District Court of South Australia. Mr Boitcheff was ... Read More
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Directors of Storm Financial penalised for breach of duties

22/03/2018(0)
The Australian Securities and Investments Commission has issued an announcement to inform investors and public that the Federal Court has imposed civil penalties of $70,000 each on the directors ... Read More
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Director to pay $400,000 and cease to provide financial services for five years

16/02/2018(0)
ASIC has accepted an Enforceable Undertaking from director Mr David Orth under which he will cease to provide financial services for five years. In addition, Mr Orth will make ... Read More
ASIC_regulator

Charges laid against former FX trader

07/02/2018(0)
Former Deutsche Bank FX options and futures trader, Andrew Donaldson, of Bronte NSW, has been charged with 85 offences under s184(2) of the Corporations Act 2001 in respect of ... Read More
ASIC_regulator

ASIC reports on how large financial institutions manage conflicts of interest in financial advice

24/01/2018(0)
An Australian Securities and Investments Commission (ASIC) review of financial advice provided by the five biggest vertically integrated financial institutions has identified areas where improvements are needed to the ... Read More
ASIC_regulator

ASIC reports on cyber resilience assessments of financial markets firms

30/11/2017(0)
An ASIC report on the cyber resilience of over 100 firms operating across Australia’s financial markets has shown a growing understanding of cyber risks, but there is still some ... Read More
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