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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
Roobet Launches New Game, Snoop’s High Rollers, in Collaboration
Thought Leadership
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
Roobet Launches New Game, Snoop’s High Rollers, in Collaboration
Thought Leadership
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News
Australian Regulator Wants to Monitor How Firms Use Blockchain Technology
ASIC: a blockchain needs to accommodate scenarios where the law doesn't permit enforcement of a contract by its own terms.
Monday, 20/03/2017 | 09:31 GMT
by
Avi Mizrahi
Prime Brokerage
Westpac and ANZ Become Entrenched in FX Conduct Scandal
The Australian financial regulator has accepted from the banks enforceable undertakings totaling AUD 6 million.
Wednesday, 15/03/2017 | 10:49 GMT
by
Victor Golovtchenko
Regulation
Credit Suisse Slapped with $170,000 Penalty for Automated Lapses
Credit Suisse Limited paid $170,000 following an infringement notice from ASIC.
Wednesday, 15/03/2017 | 09:44 GMT
by
Jeff Patterson
Regulation
Australian Regulator Issues Warning Against Binary Uno
Unregulated binary options brokerage Binary Uno has been designated by Australian authorities as potential scam.
Friday, 03/03/2017 | 08:38 GMT
by
Victor Golovtchenko
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
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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
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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
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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
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