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Regulation
ASIC Initiates Court Proceedings Against State One for Compliance Failures
2016-11-21T10:47:35.000+02:00
The stockbroking firm could face penalties of $425,000 after allegedly contravening market integrity rules.
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Regulation
Sydney Resident Fined $10,000 for Insider Trading after ASIC Investigation
2016-11-17T09:50:05.000+02:00
Fei Yu has been convicted for insider trading and is disqualified from managing a company for 5 years.
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Regulation
Former Financial Advisor Jailed Following ASIC Charges for Forgery and Fraud
2016-11-15T09:59:32.000+02:00
Australian resident Darren John Wise has been sentenced to 7 years imprisonment for fraudulent activities.
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Regulation
Exclusive Analysis: Australia to Shake Up Client Money Rules for OTC Forex & CFDs Brokers
2016-11-08T10:17:20.000+02:00
The Australian government is enforcing new client money rules that are going to dramatically impact the industry
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News
ASIC and OSC Sign Agreement to Support Innovative Fintech Companies
2016-11-02T12:09:09.000+02:00
The Canadian and Australian financial watchdogs have joined forces to encourage fintech firms realise their potential.
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Regulation
Australian Appeals Court Denies Broker's Appeal to be Granted an ASIC License
2016-10-27T15:39:37.000+02:00
ASIC revoked the license at the beginning of September as it discovered a change in the ownership of the company.
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Expert Insights
Risk Management, More Than Just A Book and B Book
2016-10-21T08:00:11.000+02:00
Do you meet critical security and compliance requirements? Security isn't just smart, it’s often the law.
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Jeff Wilkins
Regulation
ASIC Issues Statement on Review of September ASX Technical Failure
2016-10-14T09:29:47.000+02:00
ASIC has reviewed ASX's report and is now investigating secondary issues arising from the technical failure.
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Regulation
ASIC Cancels AFS Licence of Lotus Securities for Obligation Failures
2016-10-04T10:20:16.000+02:00
The financial services provider failed to fulfill its duties in accordance with ASIC rules and regulations.
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Regulation
ASIC Remakes Instruments Affecting Company Financial Reporting
2016-09-30T10:34:55.000+02:00
ASIC has remade 3 legislative instruments relating to financial reporting and released updated audit relief documents.
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Regulation
ASIC Levies Permanent Ban Against Former Deutsche Bank’s Andrew Donaldson
2016-09-29T07:47:13.000+02:00
The former FX options and futures trader at Deutsche Bank has been given a lifetime ban from ASIC.
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Brokers
Exclusive: Royal Forex Gets CySEC License, Looking for European Breakthrough
2016-09-23T18:31:21.000+02:00
After setting foot in the Middle East and Australia, the company is looking towards the European market.
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Regulation
ASIC Cancels Licence of The Sharemarket College for Misleading Investors
2016-09-08T09:03:25.000+02:00
The Sharemarket College had no investment portfolio and its claims were false and misleading.
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Regulation
ANZ to Refund $28.8 Million to Clients After Unclear Fee Disclosures
2016-09-05T09:24:23.000+02:00
ANZ is set to repay its business and retail clients for failure to clearly disclose when periodical payment fees would apply.
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Blogs
Robo Advisors and Why Khloe Kardashian is Like Australian Privacy Law
2016-09-01T13:15:46.000+02:00
Five takeouts for robo advisers following ASIC’s new digital advice regulatory guide.
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Regulation
ASIC Cancels Licence of Forex Brokerage for Attempting to Sell AFS Authorisation
2016-09-01T09:10:48.000+02:00
ASIC has cancelled the licence of IMS FX and warned that approval is required for any change in control of a licensee.
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Regulation
ASIC Releases New Single Instrument for Horse Schemes
2016-08-31T08:49:06.000+02:00
The new instrument introduced by the Australian financial regulator will replace three exisitng orders.
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Regulation
ASIC Publishes Guidance on Regulating Digital Advice for Retail Investors
2016-08-30T08:54:03.000+02:00
ASIC has issued its latest guidance to address some of the issues that digital advice providers need to consider.
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Brokers
Japanese Rakuten Securities Acquires Australian FX Brokerage FXAsia
2016-08-05T15:19:55.000+02:00
Rakuten Securities continues its expansion into the foreign exchange market after acquiring FXCM Japan last year
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Brokers
ASIC Warns Residents Against Binary Options Broker Titantrade
2016-08-04T14:16:08.000+02:00
Titantrade does not hold a current Australian Financial Services (AFS) and periodically changes its corporate info.
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Blogs
The Important Part ASIC Missed in its New Compliance Report
2016-08-03T22:04:13.000+02:00
AFSL holders should review this article to ensure compliance practices continue to meet regulatory requirements.
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Executive Moves
ASIC’s Markets Disciplinary Panel Elevates Simon Gray as its Chairman
2016-08-01T10:42:36.000+02:00
The panel has tapped Simon Gray as its chairman, succeeding Lisa Gay after a period of six years.
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Regulation
ASIC Reprimands Regulated & Unregulated Binary Options Brokers & Affiliates
2016-07-06T12:29:23.000+02:00
ASIC is going after the marketing subsidiaries of brokers as well as the affiliate websites themselves.
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Regulation
ASIC: Former Finance Broker Pleads Guilty To Loan Fraud
2016-06-29T09:09:12.000+02:00
Jennifer Farias has been sentenced to a one-year intensive correction order after pleading guilty to 3 counts of loan fraud.
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Regulation
ASIC Shuts Down Advamode Financial and Liquidates its Assets
2016-06-28T14:19:08.000+02:00
The Australian regulator cracks down on the Queensland financial services firm.
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Next
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