Australian regulator cancels AFS licence of Pulse Markets
ASIC has cancelled the Australian financial services (AFS) licence of securities dealer Pulse Markets Pty Ltd.
ASIC
ASIC imposes licence conditions on Corpay subsidiary
ASIC has imposed additional licence conditions on the Australian financial services (AFS) licence of Cambridge Mercantile (Australia) Pty Ltd, a subsidiary of Corpay Inc.
ASIC bans former MWL Financial Services adviser for four years
ASIC has banned Melbourne-based financial adviser Neil McPherson from providing financial services.
ASIC action leads to Court order imposing $2.5M penalty on FIIG Securities for cyber security failures
FIIG’s failures worsened a 2023 cyber-attack which saw around 385 gigabytes of confidential information stolen and highly sensitive client data leaked.
Australian regulator cancels licences of Centre Capital Securities
ASIC has cancelled the Australian financial services (AFS) and Australian credit (AC) licences of Centre Capital Securities Pty Ltd.
ASIC bans former NSW financial adviser following his conviction for dishonesty offences
ASIC has permanently banned former New South Wales financial adviser David Mario Valvo from providing financial services.
ASIC disqualifies former Queensland Senator Claire Mary Moore from managing corporations for four years
The Australian Securities and Investments Commission (ASIC) has disqualified former Queensland Senator Claire Mary Moore from managing corporations for four years.
Petra Capital to pay $205k fine for regulatory data reporting failures
Sydney-based stockbroking firm Petra Capital Pty Ltd has been fined $205,350 by the Markets Disciplinary Panel.
Australian Unity Funds Management to pay $7M penalty for failing to confirm product suitability for investors
The Federal Court has ordered Australian Unity Funds Management Limited to pay a $7.125 million pecuniary penalty.
ASX revises FY26 expense guidance
ASX today published a revised guidance for its FY26 expenses.
