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ASIC

credit-suisse

ASIC: Credit Suisse Equities paid a $74,000 penalty

20/05/2016(0)
Credit Suisse Equities (Australia) Limited (“Credit Suisse”) has paid a penalty of $74,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The ... Read More
ASIC_regulator

ASIC accepts enforceable undertaking from HSBC Bank Australia

17/05/2016(0)
ASIC has accepted an enforceable undertaking (EU) from HSBC Bank Australia Ltd (HSBC) that requires HSBC to review and remediate clients who received potentially deficient advice on retail structured ... Read More
ASIC_regulator

ASIC warns investors about services advertised by Top Ten Binary Brokers

16/05/2016(0)
ASIC warns investors about services advertised by Top Ten Binary Brokers also known as Top 10 Binary brokers.com (Top Ten Binary Brokers) ASIC is warning the public not to ... Read More
ASIC_regulator

ASIC bans former employee of financial services business

13/05/2016(0)
ASIC has permanently banned former AFS licensee employee Mr Nicolai D’Lamartin, of Rosebery NSW, from providing financial services. In 2014 Mr D’Lamartin was convicted of numerous counts of fraud ... Read More
markets

Asia trades lower, as oil prices drop; Westpac shares down 3.7%

12/05/2016(0)
Asian stocks fell modestly Thursday, taking cues from declines in U.S. stocks after a string of top-flight retail companies released disappointing earnings. The U.S. markets falls came despite gains ... Read More
ASIC_regulator

ASIC permanently bans Wickham Securities Chairman

12/05/2016(0)
ASIC has permanently banned Mr Bradley Thomas Sherwin, former Chairman of collapsed lender Wickham Securities and founder of Sherwin Financial Planners Pty Ltd (in liquidation), from providing financial services. ... Read More
ASIC_regulator

Retail OTC derivative issuer Ikon rectifies client trust accounts and improves disclosure

11/05/2016(0)
Following concerns raised by ASIC, retail over-the-counter (OTC) derivative issuer Ikon (Australia) Pty Ltd (AFSL No. 416279) (Ikon) has agreed to separate client money held in compliance with its ... Read More
ASIC_regulator

ASIC bans a fifth broker from Get Approved Finance

09/05/2016(0)
ASIC has permanently banned former Perth-based finance broker Mr Grant Aaron Parker from engaging in credit activities and providing financial services. ASIC found that Mr Parker, of Alfred Cove, ... Read More
ASIC_regulator

ASIC permanently bans Sydney finance broker

22/04/2016(0)
ASIC has permanently banned Ms Giulia Penna, of Five Dock, New South Wales, from engaging in credit activities and also from providing financial services. Ms Penna was banned following ... Read More
Logos of Deutsche Bank AG are seen in Tokyo

Deutsche Bank AG pays $20,000 infringement notice penalty

13/04/2016(0)
Deutsche Bank Aktiengesellschaft (“Deutsche Bank AG”) has paid a penalty of $20,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The penalty was for ... Read More
Broker Cyprus TopFX