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ASIC

ASIC_regulator

ASIC publishes supervision report

21/08/2014(0)
The Australian regulator in its effort to enforce regulation has published its eighth report on market supervision to inform firms on compliance procedures. ASIC has published its eighth report ... Read More
ASIC_regulator

Sydney man charged with insider trading

12/08/2014(0)
Australian financial regulator ASIC, alleges that trader has earned $20,000 from insider information in trading and now faces jail and fine. A 31-year old Sydney man today appeared before ... Read More
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ASIC imposes new AFS licence conditions on two Commonwealth Bank

08/08/2014(0)
The AFS licensees, the Australian financial services (AFS) licences of two of Commonwealth Bank of Australia (CBA)’s financial planning arms, Commonwealth Financial Planning Limited (CFPL) and Financial Wisdom Limited (FWL), have ... Read More
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Australian regulator jails former director

07/08/2014(0)
Mr Bill Katsabis, a former director of P.G. & N. Enterprises Pty Ltd (in liquidation) (P.G. & N) has been sentenced to two years and three months imprisonment following ... Read More
ASIC_regulator

ASIC accepts enforceable undertaking from Adelaide-based AFS licensee

30/07/2014(0)
The Australian regulator, ASIC, has today announced that it has accepted an enforceable undertaking (EU) from Adelaide-based PGW Financial Services Pty Ltd (PGW), after an ASIC surveillance found deficiencies ... Read More
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ASIC acts on licensees failing to lodge annual statements

22/07/2014(0)
A proactive ASIC review of Australian financial services (AFS) licensees that failed to lodge audited annual statements has led to ASIC cancelling eight AFS licences. ASIC reviewed the conduct ... Read More
ASIC_regulator

ASIC permanently bans Victorian finance broker

10/07/2014(0)
Australian Securities and Investments Commission (ASIC) has permanently banned Mr Rudy Noel Frugtniet, a former Victorian finance broker, from engaging in credit activities after it was found he provided ... Read More
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ASIC shuts down unlicensed foreign exchange trading

04/07/2014(0)
The Australian Securities and Investments Commission (ASIC) following its strict financial regulatory policy has commenced action in the NSW Supreme Court to stop Vault Market Pty Ltd and its sole ... Read More
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New regulation of financial advisers providing tax advice in Australia

03/07/2014(0)
From 1 July 2014, the Tax Practitioners Board (TPB) regulates financial advisers who provide tax (financial) advice services under the Tax Agent Services Act 2009 (Cth) (TASA). Until now, ... Read More
ASIC_regulator

Former investment manager jailed

27/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has published the following announcement after a series of investigations: A former investment manager with links to the failed firm Trio Capital ... Read More
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