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Australian Securities and Investments Commission

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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
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Merrill Lynch Equities (Australia) Limited pays $96,000 infringement notice penalty

11/09/2014(0)
The Australian Securities and Investments Commission has ruled a fine against Merrill Lynch Equities (Australia) Limited (Merrill Lynch). The company has paid a total penalty of $96,000 to comply ... Read More
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ASIC permanently bans Victorian finance broker

10/07/2014(0)
Australian Securities and Investments Commission (ASIC) has permanently banned Mr Rudy Noel Frugtniet, a former Victorian finance broker, from engaging in credit activities after it was found he provided ... Read More
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ASIC shuts down unlicensed foreign exchange trading

04/07/2014(0)
The Australian Securities and Investments Commission (ASIC) following its strict financial regulatory policy has commenced action in the NSW Supreme Court to stop Vault Market Pty Ltd and its sole ... Read More
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Former investment manager jailed

27/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has published the following announcement after a series of investigations: A former investment manager with links to the failed firm Trio Capital ... Read More
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Australian day trader was jailed for manipulation of CFDs

17/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has today sentenced Kristoffer John Watts from New South Wales, to two years in jail for market manipulation. Kristoffer John Watts, a day-trader living ... Read More
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Merrill Lynch Equities (Australia) Limited pays $65,000 infringement notice penalty

10/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has imposed the penalty of $65,000 to Merrill Lynch Equities (Australia) Limited (Merrill Lynch) in order to comply with an infringement notice given to ... Read More
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ASIC obtains extension of injunction freezing bank accounts of Sino Australia Oil and Gas Limited

03/06/2014(0)
The Australian Securities and Investments Commission (ASIC) has obtained orders in the Federal Court in Melbourne extending an injunction restraining Sino Australia Oil & Gas Ltd (SAO), an ASX-listed ... Read More
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ASIC encourages platforms to review compliance with class orders

27/05/2014(0)
The Australian Securities and Investments Commission (ASIC) is encouraging platforms to review ongoing compliance with ASIC class orders and to ensure they are ready for the changes under new ... Read More
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ASIC bans convicted Victorian finance broker from credit activities

23/05/2014(0)
The Australian Securities and Investments Commission (ASIC), has permanently banned Victorian finance broker, Ms Kieu Thi-Thanh Huynh, from engaging in credit activities after she was convicted of serious fraud ... Read More
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