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5185 media releases found
15 June 2017 MEDIA RELEASE
17-187MR ½ñÈÕÈÈÃÅʼþbans South Australian director of failed companies for four years

½ñÈÕÈÈÃÅʼþhas disqualified former director Mr Colin Geoffrey Oxlade, of Adelaide, from managing companies for four years. Mr Oxlade's disqualification ...

15 June 2017 MEDIA RELEASE
17-186MR ½ñÈÕÈÈÃÅʼþwelcomes the dawn of a new regulatory era

The ½ñÈÕÈÈÃÅʼþ (ASIC) today welcomed the passage of legislation enabling a more secure and accountable funding ...

15 June 2017 MEDIA RELEASE
17-185MR UBS Securities pays $280,000 in infringement notice penalties

UBS Securities Australia Limited ('UBS') has paid penalties totalling $280,000 to comply with two infringement notices given to it by the ...

14 June 2017 MEDIA RELEASE
17-184MR ½ñÈÕÈÈÃÅʼþseeks orders to wind up Octaviar Group Companies

½ñÈÕÈÈÃÅʼþhas applied to the Supreme Court of Queensland for an order that Octaviar IHH Pty Ltd (deregistered) (OIHH) be reinstated as a company under the ...

13 June 2017 MEDIA RELEASE
17-183MR Hong Kong and Australia seal agreement on fintech cooperation

The Hong Kong Securities and Futures Commission ('the SFC') and ½ñÈÕÈÈÃÅʼþtoday signed a Co-operation Agreement which provides a framework for ...

13 June 2017 MEDIA RELEASE
17-182MR Director of distribution business disqualified from managing companies

Peter Thomas Gillam of Kallangur, Queensland has been disqualified by ½ñÈÕÈÈÃÅʼþfrom managing corporations for four years. Mr Gillam's disqualification ...

13 June 2017 MEDIA RELEASE
17-181MR ½ñÈÕÈÈÃÅʼþreports on conduct in funds management and makes recommendations for improved compliance

½ñÈÕÈÈÃÅʼþhas reported on the findings of its' proactive surveillance of responsible entities' compliance with their legal obligations. These are entities ...

9 June 2017 MEDIA RELEASE
17-180MR Citigroup Global Markets Australia pays $50,000 in infringement notice penalty

Citigroup Global Markets Australia Pty Ltd ('Citigroup') has paid a penalty of $50,000 to comply with an infringement notice given to it by the ...

9 June 2017 MEDIA RELEASE
17-179MR ½ñÈÕÈÈÃÅʼþextends deadline for transitional relief for charitable investment fundraisers

There have been important changes in the rules that apply to charities that offer investments to retail investors. These new rules take effect on 1 ...

8 June 2017 MEDIA RELEASE
17-178MR ½ñÈÕÈÈÃÅʼþbans former Westpac adviser for five years

½ñÈÕÈÈÃÅʼþhas banned Mr Sudhir Kumar Sinha, a financial planner from Western Australia, from providing financial services until 2 June 2022. Mr Sinha was ...

Last updated: 10/08/2024 11:23