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Australian Securities and Investment Commission (ASIC)

ASIC_regulator

ASIC bans former representative of Macquarie Equities Limited

10/08/2015(0)
ASIC has banned Mr Shawn Hickman, of Middle Cove, New South Wales, from providing financial services for six years after he engaged in unauthorised discretionary trading on his clients’ ... Read More
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ASIC takes civil action against two for unlicensed financial services business

30/07/2015(0)
ASIC has commenced civil proceedings in the Supreme Court of Queensland against Dr Roger Gareth Munro and Mrs Kathleen Susan Munro. ASIC is seeking declarations and other orders in ... Read More
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ASIC bans former director of Provident Capital Limited

28/07/2015(0)
ASIC has banned Mr Trevor John Seymour, a former director of Provident Capital Limited (Provident Capital), from managing corporations for three years and providing financial services for three years. ... Read More
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ASIC bans former GTL Tradeup Pty Ltd director

23/07/2015(0)
Mr Andrew Jeffers, a Certified Practising Accountant from Sydney, NSW, has been banned from providing any financial services until 21 May 2018. Mr Jeffers was banned after ASIC found that ... Read More
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ASIC: Update on Interactive Brokers

03/07/2015(0)
ASIC today provided an update on its regulation of US-based online brokerage firm Interactive Brokers LLC (IB). Enforceable undertaking (EU) IB has refunded $1.5 million in fees and commission ... Read More
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Cold calling firm FXTS Guru cut off following ASIC concerns

18/06/2015(0)
A cold-calling operation promoting FX and binary option products to investors worldwide has agreed to stop contacting Australian investors following ASIC concerns. The outcome is part of ASIC’s ongoing ... Read More
ASIC_regulator

Macquarie Investment Management to refund clients after review of system errors

17/06/2015(0)
Macquarie Investment Management Limited (Macquarie) is due to refund over $5.5 million to around 2,300 clients affected by system errors. The errors occurred between 2001 and 2014, on a ... Read More
ASIC_regulator

Alleged Ponzi scheme operator faces court

26/05/2015(0)
Following an ASIC investigation, an Adelaide man has faced court accused of deception totalling $12 million. Former mortgage broker Michael Samra faced Adelaide Magistrates Court on 22 May 2015 ... Read More
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Former Wickham Securities CEO charged

30/04/2015(0)
The former CEO of collapsed debenture issuer Wickham Securities Ltd today faced court charged with various offences, including fraud, following an ASIC investigation. Garth Peter Robertson, 49, of Brisbane, ... Read More
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ASIC issues warning about Grandegoldens

30/03/2015(0)
ASIC cautions Australian investors in the retail foreign exchange industry in regard to dealing with a company named Grandegoldens Pty Ltd (ACN 080 952 245). ASIC has become aware ... Read More
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