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Forex Live FX Is Not Regulated by ASIC and Mauritius FSC
- An unregulated entity behind Forex Live FX has been falsely claiming on its website to be authorised to offer its financial services under Australian ASIC and the Mauritius FSC regulators.
Thursday, 08/05/2014 | 09:27 GMT by
Victor Golovtchenko
Exclusive: JFSA with ASIC to Prohibit Aussie FX Brokers from Accepting Japanese Residents
- Protectionism hits a new peak as Japan’s financial regulator forbids Australian brokers from accepting Japanese residents. The move comes as Japan’s restricted trading environment aims to eliminate ‘any’ leaks.
Wednesday, 30/04/2014 | 10:35 GMT by
Adil Siddiqui
ASIC Mandate Necessitates DTCC Extension of Trade Reporting Service
- The Depository Trust & Clearing Corporation (DTCC) has launched an extended Global Trade Repository (GTR) service to market participants for OTC derivatives, with provisions for further asset-class expansion.
Tuesday, 29/04/2014 | 13:29 GMT by
Jeff Patterson
Director Of Sonray Capital Markets Sentenced to Six and a Half Years Jail After $46M Collapse
- The former sole director of the Saxo Bank introducing brokerage, Russell Johnson was sent to Jail for his part in the collapse of Sonray including false accounting, theft, deception and conspiracy to steal.
Thursday, 17/04/2014 | 06:59 GMT by
Avi Mizrahi
Australian Watchdog Set To Sharpen Its Teeth: Submits Reforms Recommendations
- ASIC calls for extending its reach and toughening its penalties. The Australian regulator is petitioning the government for the ability to set heavier fines and longer jail terms in non-criminal proceedings.
Tuesday, 08/04/2014 | 15:55 GMT by
Avi Mizrahi
Litecoin Dev Team Rebuffs Calls Changing POW Algorithm as ASIC Miners Dominate
Tuesday, 01/04/2014 | 08:57 GMT by
Leon Pick
NZ Regulatory Body Launches Forex Probe as Scope of Allegations Widens
- The widening scope of a global forex investigation has now extended to New Zealand, as the country’s Commerce Commission has announced the launch of a probe into the manipulation of currency rates.
Monday, 31/03/2014 | 06:46 GMT by
Jeff Patterson
ASIC Launches Investigation into Aussie Markets over Forex Manipulation
- The list of global regulators investigating the manipulation of fx rates in a $5.3 trillion-dollar-a-day industry has continued, with recent news of ASIC joining the probe in examining Australian markets.
Wednesday, 19/03/2014 | 11:09 GMT by
Jeff Patterson
ASIC Bans Forex FS from Offering Retail Managed Accounts for Ten Years
- The Australian Securities and Investments Commission has accepted an "enforceable undertaking" from the online FX broker after it violated its Managed Discretionary Account rules and promised 30% returns.
Tuesday, 25/02/2014 | 08:38 GMT by
Avi Mizrahi
XM.com Gains ASIC Authorization Under a Subsidiary in Its Parent Company Structure
- The trading name XM.COM, belonging to Trading Point Holdings Ltd, which wholly owns several regulated entities offering online retail brokerage services around the world, just added an ASIC-approved entity to its list.
Wednesday, 19/02/2014 | 14:44 GMT by
Steven Hatzakis
GetReal: System Design House Moves into Mining Space with ASIC Chip
Monday, 17/02/2014 | 09:08 GMT by
Leon Pick
Invast Securities Operating Revenues Rise 13% in January
- Japanese broker dealer, Invast Securities has reported earnings data for the month of January. The Tokyo based brokerage firm saw operating revenues jump to $3.1 million an increase of 13% from figures reported in December.
Friday, 07/02/2014 | 21:46 GMT by
Adil Siddiqui
FIBO Group Announces License with British Virgin Islands' Financial Services Commission
- The latest entity added to the Moscow-headquartered FIBO Group, under the name FIBO Group Ltd, gets licensed with BVI's FSC, adding to the firms CySEC and ASIC regulated firms, totaling 3 regulated firms within the group.
Friday, 07/02/2014 | 14:50 GMT by
Steven Hatzakis
ASIC Hands $15,000 Fine to Pershing Securities Australia Over Trade Confirmation Errors
- The Bank of New York Mellon Subsidiary operating the Pershing brand had one of its business lines handed a tiny fine by the Australian Securities and Investment Commission over errors related to ASX trade confirmations.
Monday, 03/02/2014 | 12:04 GMT by
Steven Hatzakis
ASIC Censures CFD Trader Via Magistrates Court for Market Manipulation
- ASIC has today announced that it intends to pursue criminal proceedings against a New South Wales-based CFD trader for market abuse, with a maximum penalty of $495,000 or 10 years imprisonment.
Thursday, 30/01/2014 | 14:34 GMT by
Andrew Saks McLeod
Thinking CFDs, ThinkForex Expands CFD Offering With Six New Index-Based Instruments
- The ASIC-regulated online trading broker under the name TF GLOBAL MARKETS (AUST) PTY LTD, has just announced that six new CFDs will start trading next week, based on certain US, European, and Australian underlying indexes.
Friday, 03/01/2014 | 12:37 GMT by
Steven Hatzakis
Hattrick for ASIC: Three Large Firms Censured For Incorrect Handling Of Client Funds
- Australia's national regulatory authority ASIC has today announced that it has censured three large firms for failing to adhere to rulings with regard to segregation of client funds, resulting in a penalty and an EU.
Tuesday, 17/12/2013 | 07:43 GMT by
Andrew Saks McLeod
Changes on the Horizon at Safecap (Markets.com)
- Earlier in the month, it was revealed that Safecap appointed a new CEO for its Cypriot operations. But that may not be the only change as the firm will be reportedly launching two new regulatory divisions.
Thursday, 28/11/2013 | 11:54 GMT by
Ron Finberg
Canadian State Regulator Cautions Investors About YoutradeFX
- Ontario Securities Commission, the financial services regulator for the Ontario has issued a warning against YoutradeFX. The notification comes after the broker solicits Canadian clients without holding the necessary licenses.
Friday, 25/10/2013 | 07:25 GMT by
Adil Siddiqui
Pepperstone IPO Chatter Getting Louder with Hiring of Berkshire Capital
- Chatter of possible Pepperstone IPO grew as the broker has contracted Berkshire Capital, a New York based investment bank that provides services to the Australian market through its local Sydney office.
Wednesday, 23/10/2013 | 09:01 GMT by
Ron Finberg
Brokers Blame Australian Regulator for Unfairly Slamming Down Their Business
- Australia’s main financial watchdog, the Australian Securities and Investments Commission, issued a notification warning investors of the nature of foreign exchange trading. The notification comes after a regulated broker went into liquidation.
Friday, 18/10/2013 | 14:02 GMT by
Adil Siddiqui
Aussie Rob Receives Five-Year Ban As ASIC Clamps Down On FX Training Software
- Australian regulatory authority ASIC has today issued a five year ban to Robert Wilson for the misleading marketing and sale of software which indicates when to enter and exit trades with red and green lines.
Thursday, 17/10/2013 | 07:21 GMT by
Andrew Saks McLeod
Former Director Of Sonray Capital Markets Faces Jail For Part In $46M Demise
- ASIC announces end to the high-profile case involving failed Australian introducing broker, Sonray Capital Markets, at one time one of the nation's largest white labels and referrer of business to Saxo Bank.
Wednesday, 02/10/2013 | 11:00 GMT by
Andrew Saks McLeod
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