The Australian Securities and Investments Commission (ASIC) is reminding financial advisers, who are currently authorised, to make sure that they are ...

Following an ex-parte application by ASIC on 1 November 2018, the Federal Court in Perth made asset preservation orders against Perth-based ...

Mr Andrew Law, of Biggera Waters, Queensland, has been convicted by the Southport Magistrates Court for making false or misleading statements in ...

The Federal Court has ordered State One Stockbroking Limited (State One) to pay penalties totalling $350,000 after the company failed to comply with ...

Mr Allan Ronald Saunders, of Stafford Heights, Queensland has been convicted and sentenced to jail after pleading guilty to charges related to ...

Sydney-based company Dampier Finance Australia Limited, who holds an Australian Financial Services licence (AFSL), has been fined $240,000 for ...

UBS Securities Australia Limited (‘UBS’) has paid a penalty totalling $120,000 to comply with an infringement notice given by the ...

ASIC has banned Yossef Ashkenazi, also known as Yossi Ashkenazi, of Caulfield South, Victoria, from providing financial services for a period of ...

The Australian Securities and Investments Commission (ASIC) has issued civil penalty proceedings in the Federal Court of Australia against former ...

ASIC has amended ASIC Corporations (Non-cash Payment Facilities) Instrument 2016/211 to remove an expiry date that would have seen the instrument ...