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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
Regulation

Australia Passes Bill to Enhance Whistleblower Protection

  • ASIC will oversee the implementation of the reforms in July.
Thursday, 21/02/2019 | 08:05 GMT by Celeste Skinner
Regulation

ASIC Ends Monitoring of HSBC for Retail Structured Products

  • The regulator has ceased the bank's enforceable undertaking related to retail structured products.
Wednesday, 20/02/2019 | 06:58 GMT by Celeste Skinner
Regulation

Former Aussie FX Trader at Deutsche Bank Sentenced to Prison

  • Andrew Donaldson fraudulently filed with Deutsche that he made profits of more than AU$31 million.
Tuesday, 12/02/2019 | 07:19 GMT by Celeste Skinner
Regulation

ASIC Lays Out Brexit Plan Ahead of Upcoming Deadline

  • ASIC is working closely with the FCA and BoE to set up new relationships between Australia and the UK.
Friday, 08/02/2019 | 07:53 GMT by Celeste Skinner
Regulation

The Seemingly Never-Ending Warning List of ASIC Grows Again

  • The regulator has warned against KontoFX (NTMT Transformatic Markets OU) and Fortune Way Limited (FXFWay UK Limited).
Tuesday, 05/02/2019 | 08:18 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

Don’t Deal with Estonian Broker 4XFX, ASIC Warns

  • 4XFX is unlicensed in Australia to provide financial services and it could be involved in a scam.
Thursday, 10/01/2019 | 07:56 GMT by Celeste Skinner
Regulation

ASIC Warns Against Scammers Impersonating the Regulator

  • Scammers from Luxembourg Offshore Banking are falsely claiming that funds are being processed or withheld by ASIC.
Monday, 17/12/2018 | 08:06 GMT by Celeste Skinner
News

Zcoin Moves Against ASIC Monopoly With Merkle Tree Proof

  • The new mining algorithm is said to negate the monetary advantage of using a specialised machine.
Thursday, 06/12/2018 | 13:29 GMT by Simon Golstein
Regulation

ESMA Blues, ASIC Boom and Brexit No Big Deal: This Year in Regulations

  • From PSP problems in China to leverage caps in Europe, it's been a challenging year for brokers across the globe.
Thursday, 06/12/2018 | 09:30 GMT by David Kimberley
Brokers

ASIC Warns Against Axe Invest

  • The regulator says the company has been offering its services to Australians without the requisite licensing.
Monday, 03/12/2018 | 11:23 GMT by David Kimberley
Regulation

ASIC Announces Major Changes to Reporting Requirements

  • Full-year and half-year reports at December 31, 2018, must comply with these new accounting standards.
Monday, 03/12/2018 | 08:13 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
Regulation

New Zealand’s FMA Flags FX Trading Provider Brighter Trade

  • The regulator believes Brighter Trade could be a scam following a warning from ASIC.
Wednesday, 28/11/2018 | 07:57 GMT by Celeste Skinner
Analysis

Lightning Network Gets Popular, ASIC Gets Tough: Best of the Week

  • Catch up on last week's top stories.
Sunday, 25/11/2018 | 15:49 GMT by Simon Golstein
Brokers

Exclusive: Halifax Investment Services Has Gone Bust

  • The Sydney-based company shares its owner with two other finance firms.
Sunday, 25/11/2018 | 14:35 GMT by Finance Magnates Staff
Brokers

Exclusive: ASIC Broker License Prices Hit Whopping $4 Million

  • Regulatory arbitrage comes at a hefty cost as ASIC still trailing on leverage restrictions.
Wednesday, 21/11/2018 | 17:16 GMT by Victor Golovtchenko
Regulation

State One Stockbroking fined $500,000 for Compliance Failures

  • The firm was ordered to pay penalties totalling $350,000 for not complying with ASIC’s Market Integrity Rules.
Wednesday, 21/11/2018 | 09:00 GMT by Celeste Skinner
Brokers

How Not to Do Business in Australia: The Story of AGM Markets

  • AGM Markets got its license revoked and most recently the company’s CEO got a ban from the industry.
Wednesday, 21/11/2018 | 05:51 GMT by Victor Golovtchenko
Regulation

UBS Pays $120,000 for "Careless" Conduct on the ASX

  • Traders at UBS bought around 18 million securities in ways other than by the matching of an order book.
Tuesday, 20/11/2018 | 06:55 GMT by Celeste Skinner
Regulation

ASIC Adds 10 Unauthorized Financial Firms to its Blacklist

  • The firms range from FX, CFD, and cryptocurrency brokers, to investment firms.
Monday, 19/11/2018 | 15:09 GMT by Celeste Skinner
Analysis

High-Frequency Trading is Declining for AUD/USD Cross Rate

  • AISC has published its review on high-frequency traders and their impact on AUD/USD cross-rate.
Friday, 16/11/2018 | 07:00 GMT by Celeste Skinner
Brokers

GO Markets Joins oneZero Ecosystem to Expand eFX Offering

  • The Australian broker is the second firm to reveal a partnership with oneZero’s liquidity ecosystem.
Tuesday, 13/11/2018 | 10:37 GMT by Celeste Skinner
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