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Regulation

ASIC Suspends AFS License of Financial Options Pty Ltd

  • The license has been suspended until the 26th of February 2020.
Tuesday, 10/09/2019 | 07:07 GMT by Celeste Skinner
Brokers

Three Former ASIC Regulated FX Firms Owe AFCA $837,800

  • AGM Markets, Direct FX Trading and Berndale Capital Securities have been called out by the authority.
Monday, 02/09/2019 | 07:52 GMT by Celeste Skinner
Brokers

ASIC Extends Suspension of BBY Limited’s AFS Licence

  • The firm was authorised to issue and make a market in derivatives and foreign exchange.
Tuesday, 25/06/2019 | 06:28 GMT by Celeste Skinner
Regulation

ASIC Bans Two FX and Commodities Fund Managers for 6 Years

  • Jeffrey Worboys and Matthew Barnett are the former Co-CEOs of Australian Mutual Holdings and are directors at Halifax.
Monday, 29/04/2019 | 06:19 GMT by Celeste Skinner
Regulation

ASIC AFS Licence Applicants Have 44% Success Rate, Report Shows

  • Between July 2017 until June 2018, the success rate for applications of AFS licenses was 44 per cent.
Thursday, 28/02/2019 | 10:32 GMT by Celeste Skinner
Regulation

ASIC Bans Another Director at Jade Capital Matthew McCrow

  • McCrow was banned because he was involved in the company’s breach of financial services law.
Monday, 25/02/2019 | 07:56 GMT by Celeste Skinner
Brokers

ASIC Suspends AFS License of Halifax

  • Halifax has been in administration since November, 2018.
Monday, 14/01/2019 | 07:12 GMT by Celeste Skinner
Regulation

ASIC Cancels AFS Licence of OTC Derivative Issuer Berndale

  • ASIC has also banned Stavro D’Amore, a former director of the firm, from providing financial services for six years.
Friday, 30/11/2018 | 06:59 GMT by Celeste Skinner
Brokers

ASIC Cancels AGM Markets’ License Due to Unethical Conduct

  • The Australian regulator has listed eight reasons for the licence cancellation such as compliance failures and unfair conduct.
Friday, 09/11/2018 | 07:03 GMT by Celeste Skinner
Regulation

ASIC Cancels Direct FX's Financial Licence due to Compliance Failures

  • The regulator originally suspended Direct FX’s licence on April 17, 2018, for a period of six months.
Thursday, 18/10/2018 | 08:25 GMT by Celeste Skinner
Regulation

ASIC Suspends Marigold Falconer's AFS License Over Missed Filing and Insurance

  • ASIC action based on the firm's lack of indemnity insurance and filing failures.
Friday, 20/05/2016 | 07:05 GMT by Steven Hatzakis
Brokers

Exclusive: Go Markets Group UK Owner Named by SEC amid IPO Attempt

  • Stephen B. Wheatley, who was allegedly involved in a pump and dump scheme in the US, appeared in Go Markets Group's presentation to investors. The proposal to list on the NSX "may be abandoned", but the group "does not expect the brand to be affected".
Tuesday, 08/12/2015 | 10:30 GMT by Avi Mizrahi
Blogs

The Australian Government's Response to the Failed Playtech-Plus500 Deal

  • An expansion of the ASIC’s power has the ability to affect the margin FX and OTC derivative industry in Australia quite substantially.
Monday, 30/11/2015 | 15:54 GMT by Alicia Pevely
Blogs

Australia: December 4 Reporting Deadline Looming - Are You Ready?

  • Some Australian issuers of OTC derivatives will need to report for the first time their reportable transactions and reportable positions.
Wednesday, 25/11/2015 | 10:24 GMT by Sophie Gerber
Regulation

Australian Watchdog Revokes NZGFT License for Deceptive Claims

  • Its Chinese website promoted "Guaranteed Capital with Bonus Scheme" plan and that "Expert Advisors masters can get $1 million US dollar".
Thursday, 15/10/2015 | 13:27 GMT by Avi Mizrahi
Regulation

An in Depth Look at the ASIC Register for Authorized Representatives

  • All employees and representatives providing financial advice to retail clients have been invited to become members of a new ASIC register
Wednesday, 13/05/2015 | 20:37 GMT by Alicia Pevely
Brokers

Direct FX Announces the Acquisition of ODL Australia and Other Major Developments

Wednesday, 22/02/2012 | 09:25 GMT by Michael Greenberg
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