Australian regulator ASIC announced that former executive of Healthe Care Pty Limited Mr Gregory Campbell, of Bundall, Queensland, has been…
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Tag: ASIC
ASIC accepts court enforceable undertaking from CBA
Commonwealth Bank of Australia (CBA) informed that it has entered into a court enforceable undertaking with Australian regulator ASIC in…
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ASIC requires compliance with restrictions on use of ‘independent’
Australian regulator ASIC has announced that it is continuing to monitor the financial advice industry’s use of restricted terms ‘independent’…
Read MoreASIC cancels Dover Financial Advisers’ AFS license
On 28 June 2018, ASIC accepted a Court Enforceable Undertaking from Melbourne-based Dover Financial Advisers Pty Ltd and its sole…
Read MoreASIC disqualifies former director of Walton Construction
Australian regulator ASIC has announced that it has disqualified Mr Craig Hall Walton of East Melbourne, Victoria, from managing companies…
Read MoreASIC review: 80% of Binary Options traders lose money, CFDs – 72%, FX – 63%
Australia financial regulator ASIC has issued what amounts to a warning to FX, CFD and Binary Options brokers in the…
Read MoreASIC imposes license conditions on Aurora Funds Management Limited
Australian regulator ASIC informed the public that it has acted to address concerns about the operations of Aurora Funds Management…
Read MoreASIC accepts court enforceable undertaking from Vantage Global Prime to address systems and controls inadequacies within its CFD business
Australia financial regulator ASIC has announced that it has accepted a court enforceable undertaking from Vantage Global Prime, to address…
Read MoreASIC enhances its enforcement toolkit beyond Australia’s borders
Australian regulator ASIC has announced that it has become one of the first signatories to the IOSCO Enhanced Multilateral Memorandum…
Read MoreASIC cancels Cairns liquidator’s registration
The registration of Mr Justin James Cadman as a registered liquidator was cancelled on 13 June 2018 following orders made…
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