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Asic
Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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7 Things We Wish Someone Had Told Us Before We Started Trading
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Ethereum-Based Tokenized Real Estate Platform USP Launches on
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Europe's Economic Crossroads: Recession Fears and S&P Global's
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Will Blockchain Technology Mark a Turning Point in Fraud
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Brokers
Exclusive: Royal Forex Gets CySEC License, Looking for European Breakthrough
After setting foot in the Middle East and Australia, the company is looking towards the European market.
Friday, 23/09/2016 | 16:31 GMT
by
Victor Golovtchenko
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
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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
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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
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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
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