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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Regulation
Breaking: USGFX Enters into Voluntary Administration
2020-07-09T05:03:20.000+02:00
BRI Ferrier has been appointed as the administrator.
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Execution
CFH Expands Bullion Offering, Targets APAC Region, UAE & Turkey
2020-07-08T05:53:55.000+02:00
The expansion will allow clients to hedge gold positions quoted in different weight units and local currencies.
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Execution
ASIC: Credit Suisse Pays US$51.9K Penalty for NXXT Trades
2020-07-03T04:32:20.000+02:00
Credit Suisse will pay the penalty to comply with MDP infringement notice.
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Regulation
SocGen Securities Australia Pleads Guilty to Client Money Offences
2020-07-01T03:17:49.000+02:00
Societe Generale Securities Australia pleaded guilty to four separate counts of client money offences.
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Regulation
ASIC Bans Former Forex CT Employee Steven Marsh for 3 Years
2020-06-29T04:43:17.000+02:00
ASIC announced earlier this month that it had cancelled the AFS licence of Forex CT.
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Regulation
ASIC Reports 20% Uptick in Investment Scams During COVID-19
2020-06-24T03:58:50.000+02:00
The regulator received 20% more reports of misconduct from March to May of 2020 year-on-year.
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Regulation
Australian Federal Court Slaps One Tech Media with US$1.24m Fine
2020-06-18T07:04:27.000+02:00
One Tech Media was charged by ASIC for operating binary options trading without authorisation.
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Regulation
ASIC Issues Guidance on its Product Intervention Powers
2020-06-17T08:30:05.000+02:00
The guidance comes 10 months after ASIC issued its consultation paper on CFD restrictions.
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Exchanges
ASX Claims that iSignthis is in Breach of Listing Rule 18.7
2020-06-17T03:56:44.000+02:00
iSignthis has responded to the exchange, claiming the statement is one-sided.
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Regulation
ASIC Imposes Extra Conditions on SocGen Securities Australia AFSL
2020-06-15T07:31:25.000+02:00
The company must appoint an independent expert to assess and test its controls, systems and processes.
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Regulation
ASIC to Publish Guidance on Product Intervention Measures in June
2020-06-11T02:51:43.000+02:00
In its revised timetable of ongoing work, ASIC said further guidance will be published this month.
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Brokers
ASIC Cancels AFS Licence of OTC Derivatives Issuer Forex CT
2020-06-05T08:05:25.000+02:00
ASIC found that the company’s business model disregarded key obligations of an AFS licensee.
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Regulation
ASIC Further Suspends the AFSL of Former Stockbroker BBY
2020-06-04T05:07:58.000+02:00
The AFS licence has been suspended until the 30th of June 2021.
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News
Bitmain Adds Antminer T19 to Its Top ASIC Lineup
2020-06-01T08:53:47.000+02:00
The firm will start ship the new miner later this month.
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Regulation
ASIC Cancels AFS License of Australian Golden Securities
2020-06-01T05:02:32.000+02:00
The cancellation is effective from the 21st of May 2020.
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Regulation
ASIC Suspends AFSL of Forex Plus for Six Months
2020-05-28T08:39:31.000+02:00
According to ASIC, the company hadn’t been providing financial services for some time.
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Regulation
ASIC Bans Former Spectrum Wealth Advisor Sean Philip Lewis
2020-05-26T09:32:05.000+02:00
Lewis has been banned from providing financial services for five years.
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Regulation
ASIC Eases Emergency Measures for Equity Market Participants
2020-05-14T13:07:02.000+02:00
ASIC has also revoked its directions to limit the number of trades executed each day.
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Regulation
Part Two: Must-Know Trends in Regulation for New Decade
2020-05-12T10:15:08.000+02:00
Everything from ESMA to Brexit to Reporting: Real Hands-on Best Practice.
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Analysis
Aussie Brokers Respond to ASIC’s Retail CFD COVID-19 Report
2020-05-07T07:47:31.000+02:00
Aussie brokers have enjoyed a boost to trading activity and volumes amid COVID-19.
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Regulation
ASIC: Retail Clients Post Net Loss of $150.8m from CFD Trading in 1 Week
2020-05-06T09:58:17.000+02:00
The client loss occurred during the 16th until the 22nd of March 2020 from 12 Australian CFD providers.
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Analysis
Will COVID-19 Cause ASIC to Delay Leverage Restrictions?
2020-05-05T14:45:20.000+02:00
Amid the chaos of the coronavirus pandemic, will the Aussie regulator delay its leverage restrictions?
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Brokers
ASIC Cancels AFS License of Olive Financial Markets
2020-05-05T08:19:33.000+02:00
Olive has appealed the decision with the Administrative Appeals Tribunal.
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Regulation
Australian Inactive AFSL Holders at Risk of Forfeiting Licences
2020-04-23T09:18:34.000+02:00
A number of AFSLs holding authorisations that cover retail FX brokerage operations are at risk of being cancelled.
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Regulation
ASIC Provides Further Guidance on Internal Market Making
2020-04-15T08:54:20.000+02:00
The updated guidelines follow on from ASIC’s review of internal market-making in H2 of 2019.
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See more
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