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Blogs

ASIC Causing Apprehension for CFD and FX Brokers in 2017

  • New powers could give ASIC the ability to ban products in extreme circumstances.
Thursday, 09/02/2017 | 12:44 GMT by Guest Contributors
Regulation

ASIC Consults on Consolidation of ASIC Market Integrity Rules

  • The Australian regulator is proposing the streamlining of its rule books in order to clarify regulations and reduce red tape.
Tuesday, 24/01/2017 | 11:55 GMT by Finance Magnates Staff
Bloggers

ASIC Continues to Encourage Fintech Regulation in Australia

  • ASIC has identified three main issues restricting fintech firms.
Wednesday, 18/01/2017 | 15:57 GMT by Guest Contributors
Regulation

ASIC Imposes $40,000 Infringement Notice Penalty on Pershing Securities

  • Pershing failed to comply with the ASIC’s rules relating to the use of appropriate automated filters for its AOP systems.
Monday, 16/01/2017 | 08:48 GMT by Finance Magnates Staff
Blogs

Foreign FSPs Facing Minimal Barriers in Australia

  • ASIC continues to allow foreign FSPs to provide financial services to Australian Wholesale Clients with minimal barriers.
Thursday, 12/01/2017 | 09:49 GMT by Guest Contributors Institutional
Regulation

Australian Watchdog ASIC Warns of Scam Emails

  • A warning has been issued about scam emails which are supposedly from ASIC but are fake.
Wednesday, 11/01/2017 | 08:16 GMT by Finance Magnates Staff
Regulation

ASIC Reports on September ASX Equity Market Outage

  • ASIC findings following the recent ASX outage provide observations and recommendations to assist more confident trading.
Wednesday, 21/12/2016 | 13:18 GMT by Finance Magnates Staff
Regulation

CBA and NAB ‘Donate’ $5 Million to Settle ASIC Concerns Over Their FX Business

  • ASIC uncovered widespread compliance breaches within the questionable lenders’ offshore spot FX desks.
Wednesday, 21/12/2016 | 13:11 GMT by Aziz Abdel-Qader
Technology

OTCX Expands Capabilities After Receiving ASIC Market Exemption Licence

  • OTCX is looking to expand its OTC trade capture coverage by offering trading on cleared and non-cleared products.
Wednesday, 21/12/2016 | 11:29 GMT by Finance Magnates Staff
Regulation

ASIC Charges GAIN Capital Employee for Dishonestly Using his Position

  • The charges relate to orders placed by Shun Yuen Ken Li with the intention of gaining an advantage for clients.
Thursday, 15/12/2016 | 10:10 GMT by Finance Magnates Staff
News

ASIC Releases World-First Licensing Exemption for Fintech Firms

  • The exemption will allow eligible businesses to test services without the need for an AFS or credit licence.
Thursday, 15/12/2016 | 09:24 GMT by Finance Magnates Staff
Regulation

ASIC Flags Two Brokers Amid Unauthorised Soliciting and Misconduct Concerns

  • The watchdog has warned of RockSmith Options and put OpenMarkets Australia under its watchful eye.
Friday, 09/12/2016 | 07:05 GMT by Finance Magnates Staff
Brokers

ASIC Broadens Investigation into TitanTrade’s Business Associates

  • ASIC is currently investigating the website, persons and entities associated with the international boiler room.
Thursday, 24/11/2016 | 18:50 GMT by Aziz Abdel-Qader
Regulation

ASIC Initiates Court Proceedings Against State One for Compliance Failures

  • The stockbroking firm could face penalties of $425,000 after allegedly contravening market integrity rules.
Monday, 21/11/2016 | 08:47 GMT by Finance Magnates Staff
Regulation

Sydney Resident Fined $10,000 for Insider Trading after ASIC Investigation

  • Fei Yu has been convicted for insider trading and is disqualified from managing a company for 5 years.
Thursday, 17/11/2016 | 07:50 GMT by Finance Magnates Staff
Regulation

Former Financial Advisor Jailed Following ASIC Charges for Forgery and Fraud

  • Australian resident Darren John Wise has been sentenced to 7 years imprisonment for fraudulent activities.
Tuesday, 15/11/2016 | 07:59 GMT by Finance Magnates Staff
Regulation

Exclusive Analysis: Australia to Shake Up Client Money Rules for OTC Forex & CFDs Brokers

  • The Australian government is enforcing new client money rules that are going to dramatically impact the industry
Tuesday, 08/11/2016 | 08:17 GMT by Victor Golovtchenko
News

ASIC and OSC Sign Agreement to Support Innovative Fintech Companies

  • The Canadian and Australian financial watchdogs have joined forces to encourage fintech firms realise their potential.
Wednesday, 02/11/2016 | 10:09 GMT by Finance Magnates Staff
Regulation

Australian Appeals Court Denies Broker's Appeal to be Granted an ASIC License

  • ASIC revoked the license at the beginning of September as it discovered a change in the ownership of the company.
Thursday, 27/10/2016 | 13:39 GMT by Victor Golovtchenko
Expert Insights

Risk Management, More Than Just A Book and B Book

  • Do you meet critical security and compliance requirements? Security isn't just smart, it’s often the law.
Friday, 21/10/2016 | 06:00 GMT by Jeff Wilkins
Regulation

ASIC Issues Statement on Review of September ASX Technical Failure

  • ASIC has reviewed ASX's report and is now investigating secondary issues arising from the technical failure.
Friday, 14/10/2016 | 07:29 GMT by Finance Magnates Staff
Regulation

ASIC Cancels AFS Licence of Lotus Securities for Obligation Failures

  • The financial services provider failed to fulfill its duties in accordance with ASIC rules and regulations.
Tuesday, 04/10/2016 | 08:20 GMT by Finance Magnates Staff
Regulation

ASIC Remakes Instruments Affecting Company Financial Reporting

  • ASIC has remade 3 legislative instruments relating to financial reporting and released updated audit relief documents.
Friday, 30/09/2016 | 08:34 GMT by Finance Magnates Staff
Regulation

ASIC Levies Permanent Ban Against Former Deutsche Bank’s Andrew Donaldson

  • The former FX options and futures trader at Deutsche Bank has been given a lifetime ban from ASIC.
Thursday, 29/09/2016 | 05:47 GMT by Jeff Patterson
Brokers

Exclusive: Royal Forex Gets CySEC License, Looking for European Breakthrough

  • After setting foot in the Middle East and Australia, the company is looking towards the European market.
Friday, 23/09/2016 | 16:31 GMT by Victor Golovtchenko
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