ASIC seeks appointment of receivers to Australian Fiduciaries
ASIC has applied to the Federal Court, seeking asset preservation orders and the appointment of receivers to Australian Fiduciaries Ltd.
ASIC News
ASIC initiates inquiry into ASX
ASIC, ASX, CHESS, featured
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ASIC today announced an Inquiry into Australian Securities Exchange (ASX) group, focusing on governance, capability and risk management frameworks.
ASIC cancels AFS licence of Financial Services Group Australia
AFS licence, ASIC, featured, Financial Services Group Australia
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ASIC has cancelled the Australian Financial Services (AFS) licence of Financial Services Group Australia Pty Ltd (FSGA).
ASIC bans ex-financial adviser Glenda Rogan for 10 years
ASIC has banned former financial adviser, Glenda Maree Rogan from providing financial services for ten years.
ASIC issues warning notices to 18 social media finfluencers
ASIC, featured, finfluencer, influencer, social media
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ASIC has issued warning notices to 18 social media ‘finfluencers’ suspected of unlawfully promoting high-risk financial products.
ASIC takes Australian Unity Funds Management to Court
ASIC, Australian Unity Funds Management, featured
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ASIC sues Australian Unity Funds Management for failing to confirm product suitability for investors.
ASIC secures guilty pleas in Telegram ‘pump and dump’ action
ASIC, featured, pump and dump schemes, Telegram
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Four people involved in a coordinated scheme to pump up Australian share prices before dumping them at inflated prices have today pleaded guilty.
Australian regulator renews warning for AFS licensees ahead of deadline for financial advisers
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ASIC is urging relevant providers and their authorising AFS licensees to check all relevant information on the Financial Advisers Register.
Court sides with ASIC regarding BPS Financial’s use of ‘authorised representative’ exemption
AFS licence, ASIC, BPS, featured, Qoin
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Full Federal Court finds in favour of ASIC appeal concerning BPS Financial’s use of ‘authorised representative’ exemption.
ASIC cancels AFS licence of Spectre Financial Group
AFS licence, ASIC, featured, Spectre Financial Group
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ASIC has cancelled the Australian Financial Services (AFS) licence of Spectre Financial Group Australia Pty Ltd.
