The application of market surveillance systems in ASIC’s method of financial regulation has enabled its regulatory enforcement team to effectively bring wrongdoers to book, and to work with firms in order to refine compliance procedures
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Former Sonray Capital Markets Director sentenced to six years in jail
Russell Andrew Johnson, former director of former Saxo Bank A/S IB Sonray Capital Markets has been committed to six…
Read MoreASIC vows to fight forex fraud
Australian regulatory chief voices concern amid global FX rigging probe As we have been covering here at LeapRate, international investigations…
Read MoreASIC Terminates AFS License Of FX Provider AIE Fiduciary
Australian financial markets regulator responds to application filed to terminate AFS license after concerns had been raised over license obligations…
Read MoreASIC takes action against Forex Financial Services Ltd
The company (unknowingly) engaged in offering managed discretionary accounts The Australian regulator ASIC has issued a press release that details…
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