Man pleads guilty to misleading ASIC about shareholding LeapRate

November 07, 2018 BY Valentina Kirilova

Man pleads guilty to misleading ASIC about shareholding

Mr John Lindsay Merity, of North Nowra, New South Wales, has pleaded guilty before the District Court of New South Wales to charges of giving false or misleading information to Australian regulator ASIC about shareholding. The charges were brought following ASIC enquiries in 2009 and 2010 to identify those parties who had a relevant interest…

April 23, 2015 BY Andrew Saks-McLeod

Deutsche Bank fined £227 million by FCA for LIBOR EURIBOR failings

“Deutsche Bank’s failings were compounded by them repeatedly misleading us. The bank took far too long to produce vital documents and it moved far too slowly to fix relevant systems and controls" - Georgina Phillipou, Acting Director of Enforcement and Market Oversight, FCA

September 18, 2014 BY Andrew Saks-McLeod

Invast Financial Services pays $20,400 penalty for making misleading representations

Among other aspects of Invast's marketing approach, ASIC took a dim view of the firm's assertion that trading in Forex CFDs allows customers to buy one currency whilst simultaneously selling another

Tag: misleading information