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ASIC

ASIC_regulator

ASIC establishes Financial Advisers Consultative Committee

29/03/2017(0)
ASIC today announced the establishment of the Financial Advisers Consultative Committee, designed to improve industry engagement with its regulator, and revealed its initial membership. ‘ASIC has extensive engagement with ... Read More
ASIC_regulator

ASIC cancels credit licences of Emparo Enterprises and Quick Cash Advance

28/03/2017(0)
ASIC has cancelled the Australian credit licences held by Emparo Enterprises Pty Ltd (Emparo Enterprises) and Quick Cash Advance Pty Ltd (Quick Cash Advance) after it was found they ... Read More
ASIC_regulator

ASIC cancels the AFS license of Financial Services firms

25/03/2017(0)
ASIC has cancelled the Australian financial services (AFS) licences of Rebate Financial Services Pty Ltd and Capstone Capital Pty Ltd for failing to comply with a number of their ... Read More
ASIC_regulator

ASIC permanently bans former financial planner

22/03/2017(0)
ASIC has permanently banned Daniel Peter Logan from providing financial services, after finding that he engaged in dishonest conduct and failed to comply with a financial services law. Daniel ... Read More
ASIC_regulator

ASIC: Evaluating distributed ledger technology

20/03/2017(0)
ASIC has today released an information sheet on distributed ledger technology (DLT), also known as blockchain technology. Read Information Sheet 219 Evaluating distributed ledger technology (INFO 219). In the ... Read More
ASIC_regulator

ANZ, Westpac admit breaches in forex trading

16/03/2017(0)
ANZ and Westpac have followed rivals and yielded to the corporate regulator’s investigation into banks’ foreign exchange businesses, agreeing to oversight and changes after traders shared confidential client information ... Read More
ASIC_regulator

Credit Suisse pays $170,000 in infringement notice penalty

15/03/2017(0)
Credit Suisse Equities (Australia) Limited (Credit Suisse) has paid a penalty of $170,000 to comply with an infringement notice from the Markets Disciplinary Panel (MDP). The MDP had reasonable grounds ... Read More
Morgan Stanley is pictured on a building in San Diego

Former Morgan Stanley Wealth Management financial adviser permanently banned

11/03/2017(0)
ASIC has permanently banned Andrew Peter Panayiotides from providing financial services. ASIC found that Mr Panayiotides failed to act in the best interests of clients and provided advice to ... Read More
Diamonds

Payday lenders fined $730,000 for diamond trading ‘sham’

10/03/2017(0)
Following ASIC action, the Federal Court has today fined payday lenders Fast Access Finance Pty Ltd, Fast Access Finance (Beenleigh) Pty Ltd and Fast Access Finance (Burleigh Heads) Pty ... Read More
ASIC_regulator

ASIC and ASBFEO join forces to ensure bank lenders meet unfair contract laws

09/03/2017(0)
Australian lenders including the country’s big four banks have substantial work to do to eliminate unfair terms from their loan agreements, a joint review of small business standard form ... Read More
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