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Regulation

ASIC Warns Australian Traders against BinaryTilt’s Illegal Activity

  • The Australian financial watchdog has alerted investors that the binary options brokerage could possibly be a scam.
Thursday, 29/06/2017 | 11:42 GMT by Finance Magnates Staff
Regulation

ASIC Names Campbell Investments Limited Possible Scam

  • The Australian regulator has issued a warning against this firm’s illegal operation.
Wednesday, 14/06/2017 | 11:31 GMT by Finance Magnates Staff
Regulation

ASIC Issues Warning Against Estonian MT4 Brokerage Trade12

  • The Australian financial watchdog has alerted local traders of Trade12, after it offered financial services unauthorized.
Tuesday, 06/06/2017 | 07:56 GMT by Finance Magnates Staff
Regulation

ASIC Bans Responsible Executive at State One Stockbroking Limited

  • The Australian financial watchdog has decided to bar Mr. Nofal after he did not follow regulatory rules with clients.
Monday, 05/06/2017 | 09:31 GMT by Finance Magnates Staff
Regulation

ASIC Bars Tasmanian Resident Convicted of Stealing AU$2.5 Million

  • Patrick Simon Mitchell has been prohibited from operating in Australia after pleading guilty to 25 counts of stealing.
Thursday, 01/06/2017 | 10:36 GMT by Finance Magnates Staff
Regulation

Australian Regulator Cancels Licence of China-Focused MT4 Broker Gallop

  • Gallop International Group Pty, formerly known as Weather Pro Exchange Pty, is no longer ASIC-approved.
Monday, 29/05/2017 | 06:56 GMT by Avi Mizrahi
Regulation

Australian Regulator Declares Ban on Five Brokers

  • The Australian Securities and Investments Commission issues new warnings against binary options companies.
Wednesday, 10/05/2017 | 11:57 GMT by Finance Magnates Staff
Brokers

Breaking: Emil Assentato Retires from Board of Compagnie Financiere Tradition

  • Assentato will remain focused on the FX industry via FXDD.
Tuesday, 25/04/2017 | 18:27 GMT by Victor Golovtchenko
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
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
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
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