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Australian Securities and Investments Commission

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iSignthis released Shareholder Update

13/11/2019(0)
The Australian Securities and Investments Commission (“ASIC”) has confirmed in writing that it did not request the suspension of iSignthis securities (ASX: ISX | FRA: TA8) (“the Company”), and ... Read More
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Directors of Storm Financial penalised for breach of duties

22/03/2018(0)
The Australian Securities and Investments Commission has issued an announcement to inform investors and public that the Federal Court has imposed civil penalties of $70,000 each on the directors ... Read More
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ASIC reports on how large financial institutions manage conflicts of interest in financial advice

24/01/2018(0)
An Australian Securities and Investments Commission (ASIC) review of financial advice provided by the five biggest vertically integrated financial institutions has identified areas where improvements are needed to the ... Read More
Fintech

China and Australia to cooperate on fintech

06/11/2017(0)
The China Securities Regulatory Commission (‘CSRC’) and Australian Securities and Investments Commission (‘ASIC’) have entered into an agreement to promote innovation in financial services in their respective markets. The ... Read More
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Financial advice firm to pay $1 million penalty

30/10/2017(0)
The Australian Securities and Investments Commission (ASIC) has issued an announcement to inform that: The Federal Court has imposed a civil penalty of $1 million against Melbourne-based financial advice ... Read More
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ASIC’s 2017-20 data strategy launched

19/09/2017(0)
The Australian Securities and Investments Commission has today launched its data strategy for 2017-20. The strategy, which outlines how ASIC will capture, share and use data, will transition ASIC ... Read More
ASIC_regulator

ASIC permanently bans jailed company director from credit and financial services industries

22/08/2017(0)
The Australian Securities and Investments Commission (ASIC) has issued today a press release to inform that Mr Gavin Keith Hyland has been permanently banned from engaging in credit activities or ... Read More
Fintech

Japan and Australia cooperate on fintech

26/06/2017(0)
The Japan Financial Services Agency (‘JFSA’) and Australian Securities and Investments Commission (‘ASIC’) announced the completion of a framework for co-operation to promote innovation in financial services in Japan ... Read More
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Slater & Gordon bankers bring in investigative accountants

08/01/2016(0)
Slater & Gordon faces further scrutiny after it emerged that the company’s lenders have appointed investigative accountants to take a closer look at its books. The move follows a shock ... Read More
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ASIC takes civil action against LM founder and former directors

20/11/2014(0)
ASIC has started legal action against LM Investment Management Ltd (LMIM) founder, Peter Charles Drake, and former directors, seeking financial penalties and banning orders following the collapse of the ... Read More
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