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Blogs
To Whom Should Australian OTC Derivative Issuers Report?
2015-09-04T16:20:06.000+02:00
With the October 12 reporting deadline looming, Patricia Tsang and Sophie Gerber help issuers get a handle on reporting requirements.
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Regulation
XM and FIBO Agree to Suspend Services in Australia
2015-08-27T08:15:49.000+02:00
The Australian watchdog has requested that brokers stop onboarding clients from the country until their local licensed subsidiary is ready.
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Analysis
Australia - Will Single-Sided Reporting Relief Help OTC Derivative Issuers?
2015-08-23T14:22:52.000+02:00
It is indicated that the relief will commence in October 2015, prior to the 12 October deadline.
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Regulation
Australian Watchdog Suspends Licence of a Bought out Broker
2015-08-11T09:14:51.000+02:00
The move calls into question the advantage of taking over an Australian licensed firm to access the market, a common practice in the industry.
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Brokers
AETOS Capital Exposes Chinese Affiliate's Blackmail Attempt
2015-07-27T14:04:21.000+02:00
The plan was to put pressure on the local government and police by contacting the media after hanging protest banners in ten cities.
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Brokers
Blackmailing Affiliate Stages Protest Against AETOS Capital Group
2015-07-24T14:46:37.000+02:00
The protesters accused the Australian regulated firm of stealing their money and operating against local regulations.
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Regulation
Australian Watchdog Bans Ex-Director of Bankrupt Broker GTL Tradeup
2015-07-24T07:57:51.000+02:00
ASIC says Andrew Jeffers made false or misleading statements regarding benefits from clients' losses and taking the other side of the trade.
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News
ASIC Halts IPO of Bitcoin Group for Undisclosed Reasons
2015-07-23T11:04:56.000+02:00
The Australian Securities and Investments Commission (ASIC) has issued an interim stop order on the planned IPO of Bitcoin Group.
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Regulation
Australian Watchdog Clarifies Actions Against Interactive Brokers
2015-07-03T11:48:38.000+02:00
ASIC has requested from Interactive Brokers to cease providing all over-the-counter FX services in Australia.
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Regulation
Australian Watchdog Stops Unlicensed Firm's Cold Calling
2015-06-18T13:05:37.000+02:00
The website of the firm in question, FXTS Guru, no longer appears to function and may have been taken offline
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Regulation
Two Australians Convicted of Insider Trading with CFDs
2015-06-12T09:18:59.000+02:00
The maximum penalty for insider trading in Australia is ten years imprisonment, but both these sentences were fully suspended
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Regulation
ASIC Moves Forward With OTC Derivatives Reforms
2015-05-28T13:47:46.000+02:00
ASIC took the lead with three proposals in an attempt to help implement mandatory central clearing requirements for OTC derivatives.
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Regulation
FXPRIMUS Complies Fully with All Australian Regulators' Requests
2015-05-22T18:41:10.000+02:00
After the detailed statement issued by the regulator on Thursday, the company has issued an official communique to explain its stance
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Brokers
Exclusive: FXPrimus Counters IPO "Block" Report, Reveals Firm's Financials
2015-05-14T17:25:11.000+02:00
After reports came out that Australian regulators blocked the broker's IPO, an insider explained to Finance Magnates what really happened
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Brokers
FXPrimus IPO Valuing the Broker at AU$225 Mln Challenged by ASIC Report
2015-05-14T13:07:52.000+02:00
Australian newspaper has dispelled the prospects for an IPO by forex broker FXPrimus due to the regulator protecting its authority
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Prime Brokerage
ICAP Pinched with $50,000 Fine from ASIC for Compliance Failure
2015-05-14T08:21:27.000+02:00
The broker executed trades for clients with the intention to exclude other participants taking orders for electricity futures contracts
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Regulation
An in Depth Look at the ASIC Register for Authorized Representatives
2015-05-13T22:37:57.000+02:00
All employees and representatives providing financial advice to retail clients have been invited to become members of a new ASIC register
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Regulation
Australian Watchdog Cancels One Broker’s Licence, Promises More to Come
2015-05-12T09:01:41.000+02:00
Rainbow Legend is accused of promoting a $2.5 million compensation scheme for clients that does not exists in Australia.
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Prime Brokerage
Australian Regulator Fines FC Stone $130,000 for Risk Management
2015-04-28T09:19:55.000+02:00
Violations have been identified by the ASIC Market & Participant Supervision team back in 2012
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Regulation
Advanced Markets Prompted by ASIC to Clarify License Function
2015-04-24T10:56:47.000+02:00
The regulator insisted to make clear that it is responsible for the appropriate conduct only for residents of Australia
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Regulation
ASIC to Investigate Insider Trading on Forex Market
2015-04-07T06:34:41.000+02:00
Just before the unchanged interest rates announcement today, a spike higher in the Aussie prompts insider trading investigation
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Brokers
ASIC Suspends Licence of AGM Markets for Six Months
2015-04-02T11:00:46.000+02:00
After AGM Markets stopped operating in May 2014, the Australian regulator took the decision to suspend its license
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Regulation
ASIC Issues Public Warning on FX Provider, Grandegoldens Pty Ltd
2015-03-27T08:40:20.000+02:00
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Regulation
Australian Watchdog Chief Confirms Tightening of FX Regulations
2015-03-23T10:24:23.000+02:00
Chairman Medcraft said his jurisdiction is being "picked off" by online forex brokers looking to offer excessive leverage.
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Analysis
Australian Insider Trading Duo Gets Jail Time After Trading Margin FX
2015-03-17T21:09:29.000+02:00
Former Australian Bureau of Statistics employee Christopher Hill got 3 years and 3 months while the holder of margin forex trading accounts with Pepperstone and AxiCorp Luca Kamay is sentenced to 7 years and 3 months.
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