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ASIC

ASIC_regulator

AAT affirms ASIC’s decision to refuse an application Clemente Group Holdings Pty Ltd for a derivatives/market maker licence

27/10/2016(0)
The Administrative Appeals Tribunal (AAT) has affirmed ASIC’s decision to refuse an application from Clemente Group Holdings Pty Ltd (Clemente) seeking an Australian Financial Services (AFS) licence to provide ... Read More
ASIC_regulator

Findex Group and Financial Index Australia fined by ASIC

10/10/2016(0)
Findex Group Limited and Financial Index Australia Pty Ltd (FIA) have each paid a $10,800 penalty following the issuing by ASIC of infringement notices for potentially misleading claims on ... Read More
ASIC_regulator

ASIC warns AFS licensees to lodge financial statements and auditor’s reports on time

06/10/2016(0)
ASIC has been pursuing Australian Financial Services (AFS) licensees that have failed to meet their obligation to lodge their annual financial statements and auditor’s reports with ASIC within the ... Read More
ASIC_regulator

ASIC takes civil action against Growth Plus Financial Group Pty Ltd and individual

04/10/2016(0)
ASIC has commenced civil proceedings in the Supreme Court of Queensland against Ben Jayaweera and Growth Plus Financial Group Pty Ltd (in liquidation) (Growth Plus). On 11 March 2016 ... Read More
ASIC_regulator

ASIC permanently bans former Deutsche Bank FX trader

29/09/2016(0)
ASIC has permanently banned former Deutsche Bank FX options and futures trader, Andrew Donaldson, of Sydney, from providing financial services. The banning follows an ASIC investigation into Mr Donaldson’s ... Read More
ASIC_regulator

LT Management pays infringement notice penalty

26/09/2016(0)
LT Management Pty Limited (LT Management) has paid a $10,800 infringement notice penalty after making potentially misleading statements about the cost of setting up a self-managed superannuation fund (SMSF) ... Read More
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ASIC bans Brisbane financial advisor

23/09/2016(0)
ASIC has permanently banned Mr Sandeep Madhoji from providing financial services or  engaging in credit activity after he was sentenced to imprisonment for fraud charges. This prosecution was the ... Read More
ASIC_regulator

ASIC discontinues proceedings against two former LM directors

21/09/2016(0)
ASIC has discontinued its proceedings against Simon Tickner and Lisa Darcy, former directors of LM Investment Management Ltd (LMIM). In 2014, ASIC commenced civil penalty proceedings in the Federal ... Read More
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ASIC warns IPOs issuers when using Social Media Strategies on their marketing campaigns

19/09/2016(0)
ASIC has warned firms and issuers involved in initial public offerings (IPOs) in Australia to ensure their marketing campaigns comply with the letter and spirit of the law, particularly ... Read More
ASIC_regulator

ASIC cancels a suspended Australian Financial Services licence

16/09/2016(0)
ASIC has cancelled the Australian Financial Services (AFS) licence of Melbourne-based company Allegianz Pty Ltd (Allegianz) for failing to lodge financial statements and auditor reports. Allegianz’s AFS licence was ... Read More
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