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ASIC

ASIC_regulator

ASIC imposes licence condition on OpenMarkets Australia Limited

13/12/2016(0)
ASIC has imposed additional conditions on the Australian financial services licence of OpenMarkets Australia Limited (OpenMarkets). This action follows surveillance activities which identified concerns in OpenMarkets’: arrangements for identifying ... Read More
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ASIC bans former ANZ Financial Planning adviser from financial services

12/12/2016(0)
ASIC has banned Mr Andrew TambyRajah, a former employee of ANZ Financial Planning, from providing financial services for a period of five years. Mr TambyRajah, of Sydney, New South ... Read More
ASIC_regulator

ASIC action sees BMW Australia Finance to repay $77 million to customers

06/12/2016(0)
ASIC has accepted an Enforceable Undertaking (EU) from car financier, BMW Australia Finance Limited (BMW Finance), which will see BMW Finance implement Australia’s largest consumer credit remediation program to ... Read More
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ASIC bans insurance broker director

30/11/2016(0)
ASIC has permanently banned Christopher John Griggs from providing financial services. Mr Griggs was the sole director of Chris Griggs Insurance Offices Pty Ltd, an insurance broker based in ... Read More
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Australian Financial Services licence suspended for failing to lodge financial statements

29/11/2016(0)
ASIC has suspended the Australian Financial Services (AFS) licence of Sydney-based Group Underwriters & Managers Pty Ltd (GUM) for three months for failing to lodge financial statements, auditor reports ... Read More
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ASIC launches new digital toolkit to help Australians navigate financial advice

28/11/2016(0)
A new online toolkit developed by ASIC’s MoneySmart will enable Australians to better understand and navigate the financial advice process. ASIC’s MoneySmart Financial Advice Toolkit is a free educational ... Read More
ASIC_regulator

Another binary options trading website is in the sights ASIC

24/11/2016(0)
ASIC wins orders against another website linked to binary options group Titan Trade Another binary options trading website operating in Australia is in the sights of the corporate regulator ... Read More
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ASIC updates licence conditions on Morgans Financial Limited

24/11/2016(0)
ASIC and Morgans Financial Limited (Morgans) have agreed for an independent compliance consultant to monitor, evaluate and report on Morgan’s implementation of recommendations arising from an independent review of ... Read More
ASIC_regulator

Relief for foreign financial service providers from Luxembourg

22/11/2016(0)
ASIC has extended its relief for foreign financial service providers (FFSPs) from the requirement to hold an Australian financial services (AFS) licence when providing financial services to Australian wholesale ... Read More
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ASIC commences civil penalty proceedings against State One Stockbroking

21/11/2016(0)
ASIC has commenced civil penalty proceedings against State One Stockbroking Ltd (State One) in the Federal Court of Australia in Perth for failing to comply with two ASIC Market ... Read More
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