Societe Generale securities Australia fined $30,000 for breaching client money obligations, Australia’s regulator ASIC said today.
A federal court in Australia has imposed a fine of $53.6 million on AGM Markets Pty Ltd and two others for systemic unconscionable conduct.
ASIC announced this Wednesday that it has suspended the Australian financial services (AFS) license of Ballast Financial Management Pty Ltd.
ANZ said on Friday it was fined AUD10 million ($7.14 million) by federal court of Australia for engaging in ‘unconscionable conduct’,.
ASIC and the RBA have outlined their expectations of ASX as it replaces the Clearing House Electronic Sub-register System (CHESS).
ASIC announced that it has banned former BGC Securities fixed income broker David Moore for ten years from providing Australian financial services (AFS).
Australian Securities and Investments Commission (ASIC) has extended the temporary COVID-19 relief for certain capital raisings and financial advice.
ASIC has announced that it cancels Australian Financial Services AFS licence of Union Standard International Group USGFX.
EasyMarkets has taken a significant step towards its global expansion by acquiring a new regulatory license under the Seychelles FSA.
The Board of USG Group has officially announced that its global operations will move to the UK and London offices will be the new headquarters.