AFSL

Berndale had its AFS licence cancelled in November of 2018.

The regulator has banned Mark Schroeder from providing financial services for six years.

The suspension was previously meant to expire on January 10, 2020.

The trading technology provider initially had its license suspended until September 2020.

Is Australia becoming a less attractive destination for financial firms?

The license has been suspended until the 26th of February 2020.

AGM Markets, Direct FX Trading and Berndale Capital Securities have been called out by the authority.

The firm was authorised to issue and make a market in derivatives and foreign exchange.

Jeffrey Worboys and Matthew Barnett are the former Co-CEOs of Australian Mutual Holdings and are directors at Halifax.

Between July 2017 until June 2018, the success rate for applications of AFS licenses was 44 per cent.

McCrow was banned because he was involved in the company’s breach of financial services law.

Halifax has been in administration since November, 2018.

ASIC has also banned Stavro D’Amore, a former director of the firm, from providing financial services for six years. ...

The Australian regulator has listed eight reasons for the licence cancellation such as compliance failures and unfair conduct.

The regulator originally suspended Direct FX’s licence on April 17, 2018, for a period of six months.

ASIC action based on the firm's lack of indemnity insurance and filing failures.

Stephen B. Wheatley, who was allegedly involved in a pump and dump scheme in the US, appeared in Go ...

An expansion of the ASIC’s power has the ability to affect the margin FX and OTC derivative industry in ...

Some Australian issuers of OTC derivatives will need to report for the first time their reportable transactions and reportable ...

Its Chinese website promoted "Guaranteed Capital with Bonus Scheme" plan and that "Expert Advisors masters can get $1 million ...

Viewing 1 - 20 of 22

1 2 >