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Australian Securities and Investments Commission

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ASIC takes civil action against Astra Resources and its directors

21/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has started legal action against Astra Resources PLC (Astra Resources) and its directors, alleging the company illegally raised more than $7.6 million ... Read More
ASIC_regulator

ASIC reports on dark liquidity rule

19/05/2014(0)
The Australian Securities and Investments Commission (ASIC) today released the results of a review of rule changes affecting ‘dark trading’ and their impact on market quality. The meaningful price ... Read More
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Former Perth director jailed for providing false and misleading information

16/05/2014(0)
The Australian Securities and Investments Commission (ASIC) has issued the following press release: Mr David Alan Zohar, a former director of Aluminex Resources Limited, was sentenced today to 14 ... Read More
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D2MX Pty Ltd pays infringement notice penalty to ASIC

06/05/2014(0)
The Australian Securities and Investments Commission (ASIC), has given D2MX Pty Ltd (D2MX) an infringement notice penalty and therefore has paid a total penalty of $110,000 to comply with an ... Read More
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ASIC cancels Banksia’s AFS licence

28/04/2014(0)
Australian Securities and Investments Commission (ASIC) has cancelled Banksia Mortgages Limited’s (Banksia Mortgages) Australian financial services (AFS) licence. Banksia Mortgages is one of four subsidiaries of the Victoria-based Banksia ... Read More
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ASIC cancels Parramatta insurance broker’s AFS licence

24/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has cancelled the Australian financial services (AFS) licence of Parramatta-based insurance broker, WD Gelle Insurance & Finance Brokers Pty Ltd. The company’s ... Read More
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Sonray director jailed following $46 million collapse

17/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has issued a press release informing the investors that former sole director of Sonray Capital Markets Pty Ltd (Sonray), Mr Russell Andrew ... Read More
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ASIC: man pleads guilty to $260,000 fraud

16/04/2014(0)
The Australian Securities and Investments Commission has issued a press release informing the investors that a NSW Central Coast man has pleaded guilty to a $260,000 fraud. William John ... Read More
ASIC_regulator

ASIC suspends auditor

16/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has announced the suspension of the registration of Wayne John Wessels, the former auditor of whitegoods distributor Kleenmaid, following a successful application ... Read More
onestopbrokers-Regulators

ASIC bans convicted former adviser from credit industry

15/04/2014(0)
The Australian Securities and Investments Commission (ASIC), has permanently banned Mr Pavan Vyas from engaging in credit activities after he was convicted for dishonest conduct. Mr Vyas submitted 15 ... Read More
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