ASIC, Bit Trade, DDO, featured, Kraken
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The Federal Court of Australia today ruled Bit Trade Pty Ltd, the operator of the Kraken crypto exchange in Australia, failed to comply with design and distribution obligations.
ASIC, DDO, featured, Firstmac
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The Australian Federal Court today found that Firstmac Limited breached the new design and distribution provisions.
ASIC, DDO, featured, Trademax
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ASIC has made two interim stop orders preventing Trademax Australia Limited from dealing in CFDs or margin FX.
ASIC, DDO, featured
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The design and distribution obligations (DDO) require firms to design financial products to meet the needs of consumers.
ASIC, CFD leverage, CFD regulation, DDO, featured, Mitrade
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ASIC has issued an interim stop order preventing Mitrade Global from dealing in CFDs or margin FX to retail investors.
ASIC, DDO, featured, Saxo, Saxo Australia, Saxo Capital Markets
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ASIC made eight interim stop orders on 16 May 2023, preventing Saxo Capital Markets (Australia) from issuing some new CFDs to retail clients.
ASIC, DDO, featured
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ASIC prioritised the initial review of investment products because of concerns that investors were being inappropriately exposed to high-risk products.
ASIC, DDO, featured, Interactive Brokers
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ASIC has made two interim stop orders preventing Interactive Brokers from issuing Stock Yield Enhancement Program Derivatives to retail investors.
ASIC, DDO, featured, Vasco
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ASIC has issued an interim stop order preventing Vasco from offering or distributing the Pivotal Diversified Fund to retail investors.
American Express, Amex, ASIC, DDO, featured
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ASIC takes civil penalty action against American Express Australia in first court case alleging breaches of design and distribution obligations.
