Market news, analysis & forecast powered by

Preview Mode

FM Home
> Asic
Europe's Economic Crossroads: Recession Fears and S&P Global's
Education Center
Will Blockchain Technology Mark a Turning Point in Fraud
Education Center
7 Things We Wish Someone Had Told Us Before We Started Trading
Education Center
Techysquad Unveils Advanced Copier Feature for Precision and Thought Leadership

Asic

Search for a tag
Regulation

ASIC Cancels Licence of The Sharemarket College for Misleading Investors

  • The Sharemarket College had no investment portfolio and its claims were false and misleading.
Thursday, 08/09/2016 | 07:03 GMT by Finance Magnates Staff
Regulation

ANZ to Refund $28.8 Million to Clients After Unclear Fee Disclosures

  • ANZ is set to repay its business and retail clients for failure to clearly disclose when periodical payment fees would apply.
Monday, 05/09/2016 | 07:24 GMT by Finance Magnates Staff
Blogs

Robo Advisors and Why Khloe Kardashian is Like Australian Privacy Law

  • Five takeouts for robo advisers following ASIC’s new digital advice regulatory guide.
Thursday, 01/09/2016 | 11:15 GMT by Guest Contributors
Regulation

ASIC Cancels Licence of Forex Brokerage for Attempting to Sell AFS Authorisation

  • ASIC has cancelled the licence of IMS FX and warned that approval is required for any change in control of a licensee.
Thursday, 01/09/2016 | 07:10 GMT by Finance Magnates Staff
Regulation

ASIC Releases New Single Instrument for Horse Schemes

  • The new instrument introduced by the Australian financial regulator will replace three exisitng orders.
Wednesday, 31/08/2016 | 06:49 GMT by Finance Magnates Staff
Regulation

ASIC Publishes Guidance on Regulating Digital Advice for Retail Investors

  • ASIC has issued its latest guidance to address some of the issues that digital advice providers need to consider.
Tuesday, 30/08/2016 | 06:54 GMT by Finance Magnates Staff
Brokers

Japanese Rakuten Securities Acquires Australian FX Brokerage FXAsia

  • Rakuten Securities continues its expansion into the foreign exchange market after acquiring FXCM Japan last year
Friday, 05/08/2016 | 13:19 GMT by Victor Golovtchenko
Brokers

ASIC Warns Residents Against Binary Options Broker Titantrade

  • Titantrade does not hold a current Australian Financial Services (AFS) and periodically changes its corporate info.
Thursday, 04/08/2016 | 12:16 GMT by Aziz Abdel-Qader
Blogs

The Important Part ASIC Missed in its New Compliance Report

  • AFSL holders should review this article to ensure compliance practices continue to meet regulatory requirements.
Wednesday, 03/08/2016 | 20:04 GMT by Sarah Murray
Executive Moves

ASIC’s Markets Disciplinary Panel Elevates Simon Gray as its Chairman

  • The panel has tapped Simon Gray as its chairman, succeeding Lisa Gay after a period of six years.
Monday, 01/08/2016 | 08:42 GMT by Jeff Patterson
Regulation

ASIC Reprimands Regulated & Unregulated Binary Options Brokers & Affiliates

  • ASIC is going after the marketing subsidiaries of brokers as well as the affiliate websites themselves.
Wednesday, 06/07/2016 | 10:29 GMT by Victor Golovtchenko
Regulation

ASIC: Former Finance Broker Pleads Guilty To Loan Fraud

  • Jennifer Farias has been sentenced to a one-year intensive correction order after pleading guilty to 3 counts of loan fraud.
Wednesday, 29/06/2016 | 07:09 GMT by Finance Magnates Staff
Regulation

ASIC Shuts Down Advamode Financial and Liquidates ‎its Assets

  • The Australian regulator cracks down on the ‎Queensland financial services firm.
Tuesday, 28/06/2016 | 12:19 GMT by Aziz Abdel-Qader
Regulation

ASIC Reports Uptick in Aggressive Marketing by Retail OTC Derivatives Firms

  • ASIC's OTC derivatives review of AFS licensees on 7 key compliance risks.
Monday, 20/06/2016 | 08:26 GMT by Steven Hatzakis
Regulation

FMA Adds Binary Options Broker FM Trader to its Warning List

  • FM Trader makes it onto another warning list, this time by New Zealand’s FMA for being unregistered.
Wednesday, 08/06/2016 | 08:24 GMT by Finance Magnates Staff
Regulation

ASIC Sues National Australia Bank over Alleged Benchmark Rate Manipulation

  • ASIC alleges that on 50 occasions NAB intended to create an artificial price.
Tuesday, 07/06/2016 | 11:29 GMT by Steven Hatzakis
Regulation

ASIC Charges Two Traders for Insider Trading

  • In separate cases, two Australian traders have been found guilty of insider trading conspiracies.
Monday, 06/06/2016 | 06:58 GMT by Finance Magnates Staff
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
Technology

Australian Manager with $77b in AuM Selects Catena for OTC Reporting Needs

  • BT Investment Management selects reporting solution from Singapore-based Catena.
Wednesday, 18/05/2016 | 10:58 GMT by Steven Hatzakis
Regulation

ASIC Warns Against FM Trader and RTG Direct Trading

  • ASIC latest update warns of FM Trader and RTG Direct Trading.
Tuesday, 17/05/2016 | 11:10 GMT by Steven Hatzakis
Regulation

ASIC Warns About Binary Options Affiliate Website Top Ten Binary Options

  • The Australian watchdog has explicitly targeted an affiliate website that is offering a list of binary options brokers
Monday, 16/05/2016 | 06:50 GMT by Finance Magnates Staff
Regulation

IKON Agrees with ASIC to Separate Overseas Client Funds From its AFS license

  • ASIC aims to help Ikon avoid co-mingling AFS-held funds with offshore clients.
Wednesday, 11/05/2016 | 06:06 GMT by Steven Hatzakis
Regulation

ASIC Issues Public Warning About Binary Options Broker uBinary

  • The Australian Securities and Investments Commission has warned against uBinary for soliciting services without a licence.
Thursday, 21/04/2016 | 09:34 GMT by Finance Magnates Staff
Regulation

ASIC Gets Additional Funding to Boost Lending and Data Surveillance

  • Extra funding will allow ASIC to build technological capacity to more effectively identify risks and misconduct.
Wednesday, 20/04/2016 | 07:47 GMT by Finance Magnates Staff
Regulation

Australian Regulator to Focus on Proactive Checks of Retail FX Brokers

  • ASIC secured a total of of $149 million in compensation and remediation for investors and consumers.
Wednesday, 30/03/2016 | 13:10 GMT by Victor Golovtchenko
See more
Next Previous
!"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|} !"#$%&'()*+,-./0123456789:;<=>?@ABCDEFGHIJKLMNOPQRSTUVWXYZ[\]^_`abcdefghijklmnopqrstuvwxyz{|}