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Australian Securities and Investment Commission (ASIC)

ASIC_regulator

ASIC: Etrade Australia Securities Limited pays $65,000

09/12/2015(0)
Etrade Australia Securities Limited (Etrade) has paid a penalty of $65,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The MDP found ... Read More
ASIC_regulator

ASIC: Australian Investment Exchange Limited pays $130,000

09/12/2015(0)
Australian Investment Exchange Limited (AUSIEX) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (MDP). The penalty was ... Read More
ASIC_regulator

ASIC permanently bans insurance broker convicted of fraud

08/12/2015(0)
ASIC has permanently banned Mr Mark Chapple from providing financial services after he was convicted of fraud in the NSW Magistrates Court (Tamworth). In May 2015, Mr Chapple pleaded guilty ... Read More
ASIC_regulator

ASIC imposes licence conditions on Morgans Financial Limited

30/11/2015(0)
ASIC and Morgans Financial Limited (Morgans) have agreed to the imposition of new licence conditions on Morgans’ Australian financial services licence. This action by ASIC follows a number of ... Read More
ASIC_regulator

ASIC cancels license of financial services company

23/11/2015(0)
ASIC cancels Chronos Capital Pty Limited’s AFS licence and permanently bans Robert Lachlan Semple ASIC has cancelled the Australian financial services licence (AFSL) of Ultimo-based financial services company, Chronos ... Read More
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Bocafx agreed to remove misleading statement for ASIC authorisation

18/11/2015(0)
Following ASIC concerns, Boca Global Financial Group Pty Ltd ACN 602 109 035 (Boca) has agreed to remove statements on its website suggesting Boca is ASIC regulated or authorised ... Read More
ASIC_regulator

OCM pays $30,600 penalty for misleading advertising

03/11/2015(1)
O.C.M. Online Capital Markets Pty Ltd (OCM) has paid $30,600 in penalties after ASIC issued three infringement notices for false or misleading online advertising. Each infringement notice imposed a ... Read More
ASIC_regulator

ASIC cancels the license of Forex Broker Firm

15/10/2015(0)
Following its investigation, ASIC has cancelled the Australian financial service licence (AFSL) of LSG Group Pty Ltd , formerly known as NZ Global Financial Trading Pty Ltd, Easy Capital ... Read More
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ASIC report on market integrity

07/10/2015(0)
ASIC achieved 11 significant enforcement outcomes relating to market misconduct in the first six months of this year. Details of these and other achievements feature in Report 450: Market integrity ... Read More
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Additional licence conditions imposed on Advamode

03/09/2015(0)
ASIC has imposed additional conditions on the Australian Financial Services (AFS) licence of Advamode Financial Pty Ltd (Advamode). The conditions were imposed on the Queensland-based financial services firm after ... Read More
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