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ASIC

ASIC_regulator

Australian Directors jailed for breaching director duties

20/06/2014(0)
Australia’s market regulator ASIC, in its effort to keep the financial system secure has sentenced some directors for breaching essential director duties. Therefore, ASIC has published the following press release: ... Read More
ASIC_regulator

Australian day trader was jailed for manipulation of CFDs

17/06/2014(0)
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 ... Read More
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ASIC suspends former Banksia auditor for five years

13/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has accepted an enforceable undertaking (EU) from Mr Warren John Sinnott of Kennington, Victoria, as part of an ongoing investigation into the ... Read More
ASIC_regulator

Merrill Lynch Equities (Australia) Limited pays $65,000 infringement notice penalty

10/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has imposed the penalty of $65,000 to Merrill Lynch Equities (Australia) Limited (Merrill Lynch) in order to comply with an infringement notice given to ... Read More
ASIC_regulator

ASIC obtains extension of injunction freezing bank accounts of Sino Australia Oil and Gas Limited

03/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has obtained orders in the Federal Court in Melbourne extending an injunction restraining Sino Australia Oil & Gas Ltd (SAO), an ASX-listed ... Read More
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ASIC encourages platforms to review compliance with class orders

27/05/2014(0)
The Australian Securities and Investments Commission (ASIC) is encouraging platforms to review ongoing compliance with ASIC class orders and to ensure they are ready for the changes under new ... Read More
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ASIC bans convicted Victorian finance broker from credit activities

23/05/2014(0)
The Australian Securities and Investments Commission (ASIC), has permanently banned Victorian finance broker, Ms Kieu Thi-Thanh Huynh, from engaging in credit activities after she was convicted of serious fraud ... Read More
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ASIC takes civil action against Astra Resources and its directors

21/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has started legal action against Astra Resources PLC (Astra Resources) and its directors, alleging the company illegally raised more than $7.6 million ... Read More
ASIC_regulator

ASIC bans former Sydney trader

20/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has banned Jeremy Kaviraj Nambiar, of St Ives, New South Wales, from providing financial services for eight years after an ASIC investigation ... Read More
ASIC_regulator

ASIC reports on dark liquidity rule

19/05/2014(0)
The Australian Securities and Investments Commission (ASIC) today released the results of a review of rule changes affecting ‘dark trading’ and their impact on market quality. The meaningful price ... Read More
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