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Everything from ASIC - Australian Securities & Investments Commission

ASIC’s next generation market surveillance system commences

From ASIC - Australian Securities & Investments Commission

ASIC’s new market surveillance system is in operation. Known as MAI (Market Analysis Intelligence), the system enables ASIC to better detect, investigate and prosecute trading breaches. Commissioner Cathie Armour said

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27 Nov 2013

Sydney adviser removed from financial services

From ASIC - Australian Securities & Investments Commission

ASIC has accepted an enforceable undertaking (EU) from Sydney financial adviser Gabriel Nakhl which permanently prevents him from providing financial services. As part of the EU, Mr Nakhl has also

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19 Nov 2013

ASIC warns real estate industry about recommending property investment through SMSFs

From ASIC - Australian Securities & Investments Commission

ASIC has warned the real estate industry that agents recommending investors use a self-managed superannuation fund (SMSF) to invest in property must ensure they are appropriately licensed to provide the

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07 Nov 2013

ABN AMRO Clearing Sydney Pty Ltd pays $130,000 infringement notice penalty

From ASIC - Australian Securities & Investments Commission

ABN AMRO Clearing Sydney Pty Ltd (“ABN AMRO”) has paid a penalty of $130,000 to comply with an infringement notice given to it by the Markets Disciplinary Panel (“MDP”). On

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31 Oct 2013

Former Bell Potter adviser jailed for dishonest conduct after Crown appeal

From ASIC - Australian Securities & Investments Commission

A former Bell Potter Securities adviser who pleaded guilty to dishonest conduct involving more than $1.7 million has had his original suspended sentence quashed and been jailed for one year

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28 Oct 2013

ASIC releases further guidance on hedge fund disclosure

From ASIC - Australian Securities & Investments Commission

ASIC has today refined the definition of a hedge fund to ensure our disclosure requirements are appropriately targeted at those funds that pose more complex risks to investors. Following extensive

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04 Oct 2013

Sonray director pleads guilty to seven charges after $46 million collapse

From ASIC - Australian Securities & Investments Commission

Mr Russell Andrew Johnson, the sole director of Sonray Capital Markets Pty Ltd (Sonray), yesterday pleaded guilty in the Supreme Court of Victoria to seven criminal charges brought by ASIC.

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03 Oct 2013

Hedge funds no systemic risk to financial system: ASIC

From ASIC - Australian Securities & Investments Commission

Australian hedge funds do not currently pose a systemic risk to the Australian financial system, an ASIC report released today has found. Key points: Hedge funds ASIC identified manage only

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11 Sep 2013

ASIC accepts enforceable undertaking from Wealthsure Pty Ltd, Wealthsure Financial Services Pty Ltd and their former CEO

From ASIC - Australian Securities & Investments Commission

ASIC has accepted an enforceable undertaking (EU) from Wealthsure Pty Ltd (Wealthsure), Wealthsure Financial Services Pty Ltd (Wealthsure FS) and the former CEO of both companies, Mr Darren Pawski. Wealthsure

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03 Sep 2013

Former financial adviser pleads guilty to dishonest conduct

From ASIC - Australian Securities & Investments Commission

A former financial adviser today pleaded guilty to two charges of dishonest conduct after he was caught ‘tombstoning’. ‘Tombstoning’ involves insurance brokers submitting insurance applications in the names of dead

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29 Aug 2013

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