ASIC cancels licence of financial adviser Kyle Clifford Frost
ASIC has cancelled the Australian financial services (AFS) licence of NSW financial adviser Kyle Clifford Frost (AFS licence number 543780).
ASIC
Panacea Capital director faces criminal charges
Brian Jacques Creigh has been charged with carrying on a financial services business without an Australian Financial Services (AFS) licence and dealing with proceeds of crime.
ASIC bans former MWL financial adviser Pardeep Singh for four years
ASIC has banned former MWL Financial Services Pty Ltd financial adviser Pardeep Singh from providing any financial services for four years.
ASIC issues interim stop order preventing Fidante Partners Limited from issuing Class A units in Ares Global Credit Income Fund
ASIC has made an interim stop order preventing Fidante Partners Limited from issuing Class A units in the Ares Global Credit Income Fund.
ASIC seeks to extend and amend CFD consumer protections
ASIC is seeking feedback on its proposal to extend and amend the consumer protection measures governing contracts for difference (CFDs).
ASIC launches civil penalty proceedings against former financial adviser Osama Saad
ASIC has commenced civil penalty proceedings against former financial adviser Osama Saad, alleging he carried out schemes to avoid conflicted remuneration laws.
ASIC increases low volume financial market transaction threshold to $2.5M
ASIC has remade a legislative instrument which exempts low-volume financial markets from the requirement to hold an Australian market licence.
ASIC disqualifies former Warwick Gold and Impact Gold director Yuetu Ma for four years
ASIC has disqualified former Queensland resident Yuetu Ma (also known as Jack Ma) from managing corporations for four years.
Former BW Equities desk assistant charged with misappropriation of client funds
Mr Emre Tahsin Basar of Docklands, Victoria has been arrested and charged with eight counts of dishonestly using his position as an employee to gain a financial advantage.
ASIC secures interim asset preservation orders against Star Investment Group Australia
ASIC has secured interim asset preservation and travel restraint orders against Star Investment Group Australia Pty Ltd (SIGA), Gondal Holdings Pty Ltd and the director of both entities, Ijaz Ahmad.
