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ASIC

ASIC_regulator

ASIC commences civil penalty proceedings against Australian Bank

01/03/2017(0)
ASIC has today commenced civil penalty proceedings in the Federal Court against Westpac Banking Corporation (Westpac) for a number of contraventions of the responsible lending provisions of National Consumer ... Read More
ASIC_regulator

ASIC reports on corporate finance regulation July to December 2016

24/02/2017(0)
ASIC has today published its sixth report on the regulation of corporate finance issues in Australia. The report, which covers the period July to December 2016, provides companies and ... Read More
ASIC_regulator

Share Investing pays $130,000 in infringement notice penalty

20/02/2017(0)
Share Investing Limited (“Share Investing”) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had reasonable ... Read More
ASIC_regulator

ASIC released a consultation paper about ASIC Class Order Reporting requirements

17/02/2017(0)
ASIC today released a consultation paper proposing to remake ASIC Class Order Reporting requirements under s989B. This is due to expire (‘sunset’) on 1 October 2017. This ... Read More
ASIC_regulator

ASIC cancels AFS licence of Sovereign MF Ltd

15/02/2017(0)
The Australian Securities & Investment Commission (ASIC) has issued an announcement to inform that the Commission has cancelled the Australian Financial Services (AFS) licence of Sovereign MF Ltd (in ... Read More
fma

FMA warns against OptionsXO

08/02/2017(0)
The Financial Markets Authority (FMA) of New Zealand has issued a warning to inform investors and public in relation of conducting business with OptionsXO http://www.optionsxo.com/. AS FMA reports, the ... Read More
ASIC_regulator

Pershing Securities pays $40,000 in infringement notice penalty

16/01/2017(0)
Pershing Securities Australia Pty Ltd (“Pershing”) has paid a penalty of $40,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). The MDP had ... Read More
ASIC_regulator

ASIC warns customers about scam emails

11/01/2017(0)
The Australian Securities and Investments Commission (ASIC) has issued an announcement to warn its Registry customers to be vigilant of scam emails purporting to be from ASIC. According the warning, ASIC ... Read More
ASIC_regulator

ASIC charges GAIN Capital employee with dishonest use of his position

16/12/2016(0)
Following an ASIC investigation, Mr Shun Yuen Ken Li (also known as Leo Lee), of Roseville Chase, New South Wales has pleaded guilty in the Downing Centre Local Court ... Read More
ASIC_regulator

ASIC releases world-first licensing exemption for fintech businesses

16/12/2016(0)
ASIC has today released class waivers to allow eligible financial technology (fintech) businesses to test certain specified services without holding an Australian financial services or credit licence. ASIC Commissioner ... Read More
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