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Retail FX
Australian Securities & Investments Commission Bans Financial Adviser for 5 Years
Walter Yaolong Guan has been banned from providing financial services.
During the ban, Guan will not be able to control any entity that is involved in the financial services business.
Thursday, 19/05/2022 | 07:19 GMT
by
Bilal Jafar
Brokers
AxiCorp Settles Australian Financial Services License Issue with ASIC
The company mentioned that ASIC has withdrawn the proposed suspension of Axi’s Australian Financial Services Licence.
Monday, 01/03/2021 | 08:35 GMT
by
Bilal Jafar
Exchanges
Crypto.com Receives an Australian Financial Service License
The company secured an AFS license through the acquisition of the Card Group.
Wednesday, 02/12/2020 | 10:02 GMT
by
Bilal Jafar
Regulation
AFS License Not Required by Foreign Brokers to Deal with Professional Clients
Dealing with sophisticated clients is permitted without an AFS license.
Friday, 30/10/2020 | 17:56 GMT
by
Sophie Gerber
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Brokers
ASIC Cancels AFS Licence of USGFX after Entering Liquidation
ASIC cancelled the FX broker’s licence on the 14th of September 2020.
Friday, 18/09/2020 | 05:52 GMT
by
Celeste Skinner
Regulation
ASIC Cancels AFS Licence of Global Merces Following Liquidation
The licence cancellation became effective as of the 20th of July 2020.
Friday, 07/08/2020 | 05:53 GMT
by
Celeste Skinner
Brokers
ASIC Suspends AFS Licence of USGFX After Voluntary Administration
The AFSL of USGFX has been suspended under section 915B of the Corporations Act 2001.
Tuesday, 21/07/2020 | 00:43 GMT
by
Celeste Skinner
Regulation
ASIC Bans Former Forex CT Employee Steven Marsh for 3 Years
ASIC announced earlier this month that it had cancelled the AFS licence of Forex CT.
Monday, 29/06/2020 | 02:43 GMT
by
Celeste Skinner
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Regulation
ASIC Imposes Extra Conditions on SocGen Securities Australia AFSL
The company must appoint an independent expert to assess and test its controls, systems and processes.
Monday, 15/06/2020 | 05:31 GMT
by
Celeste Skinner
Brokers
ASIC Cancels AFS Licence of OTC Derivatives Issuer Forex CT
ASIC found that the company’s business model disregarded key obligations of an AFS licensee.
Friday, 05/06/2020 | 06:05 GMT
by
Celeste Skinner
Regulation
ASIC Further Suspends the AFSL of Former Stockbroker BBY
The AFS licence has been suspended until the 30th of June 2021.
Thursday, 04/06/2020 | 03:07 GMT
by
Celeste Skinner
Regulation
ASIC Cancels AFS License of Australian Golden Securities
The cancellation is effective from the 21st of May 2020.
Monday, 01/06/2020 | 03:02 GMT
by
Celeste Skinner
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Regulation
ASIC Suspends AFSL of Forex Plus for Six Months
According to ASIC, the company hadn’t been providing financial services for some time.
Thursday, 28/05/2020 | 06:39 GMT
by
Celeste Skinner
Brokers
ASIC Cancels AFS License of Olive Financial Markets
Olive has appealed the decision with the Administrative Appeals Tribunal.
Tuesday, 05/05/2020 | 06:19 GMT
by
Celeste Skinner
Regulation
Australian Inactive AFSL Holders at Risk of Forfeiting Licences
A number of AFSLs holding authorisations that cover retail FX brokerage operations are at risk of being cancelled.
Thursday, 23/04/2020 | 07:18 GMT
by
Celeste Skinner
Regulation
ASIC Cancels AFS Licence of FX Trading Provider FS Securities
The license cancellation took effect on the 5th of March 2020.
Friday, 03/04/2020 | 08:45 GMT
by
Celeste Skinner
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Brokers
ASIC Cancels AFS License of Financial Options Pty Ltd
The company’s license was suspended in August of 2019.
Tuesday, 25/02/2020 | 08:16 GMT
by
Celeste Skinner
Regulation
AFCA Warns Berndale Clients Recovery of Funds is Unlikely
Berndale had its AFS license canceled in November of 2018.
Friday, 14/02/2020 | 08:23 GMT
by
Celeste Skinner
Regulation
ASIC Places 6yr Ban on Former CEO of Spectrum Wealth Advisers
The regulator has banned Mark Schroeder from providing financial services for six years.
Tuesday, 11/02/2020 | 08:22 GMT
by
Celeste Skinner
Brokers
ASIC Extends Halifax AFS License Suspension to January 2021
The suspension was previously meant to expire on January 10, 2020.
Tuesday, 07/01/2020 | 08:33 GMT
by
Celeste Skinner
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Regulation
ASIC Cancels AFS Licence of KP International Group Australia
The trading technology provider initially had its license suspended until September 2020.
Thursday, 19/12/2019 | 07:33 GMT
by
Celeste Skinner
Regulation
AFS Licence Applications with ASIC Fall in 2018-2019 Period
Is Australia becoming a less attractive destination for financial firms?
Monday, 16/12/2019 | 08:25 GMT
by
Celeste Skinner
Regulation
ASIC Suspends AFS License of Financial Options Pty Ltd
The license has been suspended until the 26th of February 2020.
Tuesday, 10/09/2019 | 07:07 GMT
by
Celeste Skinner
Brokers
Three Former ASIC Regulated FX Firms Owe AFCA $837,800
AGM Markets, Direct FX Trading and Berndale Capital Securities have been called out by the authority.
Monday, 02/09/2019 | 07:52 GMT
by
Celeste Skinner
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Brokers
ASIC Extends Suspension of BBY Limited’s AFS Licence
The firm was authorised to issue and make a market in derivatives and foreign exchange.
Tuesday, 25/06/2019 | 06:28 GMT
by
Celeste Skinner
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