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Australian financial services (AFS)

ASIC_regulator

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 releases its third licensing activity report

31/05/2016(0)
ASIC today published its third report on its approach to licence applications. Report 478 Overview of licensing and professional registration applications: July to December 2015 (REP 478) sets out recent regulatory outcomes ... Read More
ASIC_regulator

ASIC suspends BBY Ltd’s AFS licence

28/05/2015(0)
ASIC has suspended the Australian financial services (AFS) licences held by BBY Ltd, BBY Advisory Services Pty Ltd, and SmarTrader Limited. Importantly, the terms of the suspension allow the ... Read More
ASIC_regulator

ASIC cancels FX company’s licence

12/05/2015(0)
Following an investigation, ASIC has cancelled the Australian financial services (AFS) licence of FX provider Rainbow Legend Group Pty Ltd (Rainbow Legend) for failing to comply with its obligations, ... Read More
ASIC_regulator

ASIC cancels AFS licences for failing to lodge annual statements

05/05/2015(0)
ASIC has cancelled the Australian financial services (AFS) licences of four licensees that failed to lodge audited annual statements. These cancellations are the result of ASIC’s most recent proactive ... Read More
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ASIC shuts down unlicensed FX business and removes its director from the industry

20/11/2014(0)
ASIC has taken action in the NSW Supreme Court to permanently shut down unlicensed foreign exchange (FX) business, Vault Market Pty Ltd (Vault Market), and to remove its sole ... Read More
Broker Cyprus TopFX