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Media releases and advisories



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September
August
July
June
May
April
March
February
January

September 2014




Date

Number

Topic

17 Sep

14-238MR

ASIC update on financial advice stakeholder engagement

17 Sep

14-237MR

ASIC and MAS sign world-first memorandum of understanding on authorities' access to OTC derivatives trade repository data

17 Sep

14-236MR

Westpac pays $20,400 penalty for misleading statements

17 Sep

14-235MR

NAB pays $40,800 penalty for misleading UBank advertisements

16 Sep

14-234MR

Sydney woman convicted for fraud

16 Sep

14-233MR

ASIC urges prompt breach reporting by AFS licensees

16 Sep

14-232MR

ASIC reports on industry implementation of platforms guidance

15 Sep

14-231MR

ASIC warns consumers about First Forex, FiFx and FiFx Global

15 Sep

14-230MR

ASIC grants first trade repository licence

11 Sep

14-229MR

BBY Limited pays $90,000 infringement notice penalty

11 Sep

14-228MR

Merrill Lynch Equities (Australia) Limited pays $96,000 infringement notice penalty

11 Sep

14-227MR

ASIC – sharing the secrets of successful savers

9 Sep

14-226MR

ASIC cancels margin forex company's AFS licence

5 Sep

14-225MR

ASIC Chairman’s travel spending and agenda

5 Sep

14-224MR

Car dealer issued with $42,500 infringement notice and agrees to refund consumers a further $36,250

3 Sep

14-223MR

Mark McIvor fined and convicted for failing to assist liquidator

3 Sep

14-222MR

Natural Fuel Ltd fined for failing to lodge financials

3 Sep

14-221MR

ASIC bans former mortgage broker for nine years

2 Sep

14-220MR

Payday lender engages in unconscionable conduct and breaches consumer credit laws

1 Sep

14-219MR

SA liquidator successfully completes quality review program

1 Sep

14-218MR

Cyclopharm Limited 30 June 2014 half-year report

1 Sep

14-217MR

Taylor Collison Limited pays $30,000 infringement notice penalty

1 Sep

14-216MR

Goldman Sachs Australia Pty Ltd pays $35,000 infringement notice penalty


August 2014




Date

Number

Topic

29 Aug

14-215MR

Terramin Australia Limited 30 June 2014 half-year report

29 Aug

14-214MR

ASIC publishes first report on corporate finance regulation

26 Aug

14-213MR

ASIC lodges second submission to the 2014 Financial System Inquiry

26 Aug

14-212MR

ASIC surveillance to target false declarations in building and construction companies

25 Aug

14-211MR

Updated ASIC policy for externally administered companies and registered managed investment schemes being wound up

25 Aug

14-210MR

ASIC winds up 10 abandoned companies owing more than $350,000 in employee entitlements

22 Aug

14-209MR

ASIC investigation leads to former Phosphagenics CEO pleading guilty to $6m theft

21 Aug

14-208MR

ASIC consults on red tape reduction proposals for ASIC market integrity rules

21 Aug

14-207MR

ASIC publishes eighth market supervision report

20 Aug

14-206MR

ASIC investigation leads to five years in jail for former director

19 Aug

14-205MR

Healthzone directors charged with market manipulation

18 Aug

14-204MR

ASIC acts to ensure better disclosure by ALDI of credit card and contactless payment surcharges

15 Aug

14-203MR

ASIC update on ongoing investigation into Padbury Mining

15 Aug

14-202MR

iProperty Group Limited - half-year results 30 June 2014

15 Aug

14-201MR

Macquarie Equities’ financial advice remediation

14 Aug

14-200MR

South Yarra accountant jailed for operating illegal investment schemes

14 Aug

14-199MR

Former chief executive to stand trial

14 Aug

14-198MR

Make it Mine Finance Pty Ltd pays $20,400 penalty for misleading advertising

12 Aug

14-197MR

Sydney man charged with insider trading

12 Aug

14-196MR

Esuperfund Pty Ltd pays $30,600 penalty for misleading advertising

12 Aug

14-195MR

Your Super Accountant pays infringement notice in relation to ‘FREE’ SMSF setup claims

12 Aug

14-194MR

ASIC obtains bankruptcy orders against former officers of CTC Resources NL

8 Aug

14-193MR

ASIC Statement of Intent

8 Aug

14-192MR

ASIC imposes new AFS licence conditions on two Commonwealth Bank financial planning businesses

8 Aug

14-191MR

Statement on wholesale and retail investors and SMSFs

7 Aug

14-190MR

Statement on auditor registration

7 Aug

14-189MR

Former director jailed

4 Aug

14-188MR

Credit Suisse AG pays $88,400 infringement notice penalty

4 Aug

14-187MR

ASIC surveillance results in cancellation of seven AFS licences

1 Aug

14-186MR

Former director of Northern Star Resources Limited charged with insider trading

1 Aug

14-185MR

ASIC launches the National Financial Literacy Strategy 2014–17



July 2014




Date

Number

Topic

31 Jul

14-184MR

ASIC enforcement report – January to June 2014

30 Jul

14-183MR

ASIC accepts enforceable undertaking from Adelaide-based AFS licensee

28 Jul

14-182MR

Brisbane man convicted on a charge of managing a corporation while disqualified

28 Jul

14-181MR

Large advice licensee finalises monitoring program

28 Jul

14-180MR

ASIC releases ASX assessment report

25 Jul

14-179MR

Jonathan Moylan convicted

25 Jul

14-178MR

Disqualified director faces charges of managing corporations

25 Jul

14-177MR

ASIC consults on technical changes to trade reporting obligations for OTC derivatives

23 Jul

14-176MR

ASIC permanently bans former Sydney financial adviser

23 Jul

14-175MR

ASIC obtains court orders against former WA financial adviser

23 Jul

14-174MR

Review of property schemes’ disclosure

23 Jul

14-173MR

ASIC bans Melbourne mortgage broker for submitting false documents

22 Jul

14-172MR

ASIC acts on licensees failing to lodge annual statements

22 Jul

14-171MR

ASIC permanently bans Queensland financial adviser

21 Jul

14-170MR

Former Gold Coast company director charged with fraud

21 Jul

14-169MR

ASIC accepts enforceable undertaking from The Royal Bank of Scotland

21 Jul

14-168MR

ASIC suspends AFS licence of Custom Wealth Solutions Dealer Services

18 Jul

14-167MR

ASIC’s appeal upheld in Walton liquidators’ independence case

18 Jul

14-166MR

Melbourne man charged with $1 million fraud

16 Jul

14-165MR

Healthzone directors charged with $1 million fraud

11 Jul

14-164MR

ASIC releases feedback report on complex products

10 Jul

14-163MR

ASIC permanently bans Victorian finance broker

9 Jul

14-162MR

Australian students score well in PISA financial literacy test but more to be done: ASIC

9 Jul

14-161MR

Sydney woman pleads guilty to $3.6 million home loan fraud

8 Jul

14-160MR

ASIC removes liquidator from industry

8 Jul

14-159MR

ACCC and ASIC revise guidelines for businesses and consumers about debt collection activities

8 Jul

14-158MR

ASIC reports on fee disclosure practices for super and managed investments

8 Jul

14-157MR

ASIC launches app for small business

4 Jul

14-156MR

Former portfolio manager sentenced to jail

4 Jul

14-155MR

ASIC acts to shut down unlicensed foreign exchange trading

4 Jul

14-154MR

ASIC suspends AFS licence of Financial Technology Securities Pty Ltd

3 Jul

14-153MR

ASIC notes expansion of CBA financial advice remediation

3 Jul

14-152MR

New regulation of financial advisers providing tax advice

3 Jul

14-151MR

ASIC permanently bans former South Australian financial adviser

3 Jul

14-150MR

ASIC takes action against payday lending businesses

3 Jul

14-149MR

GE Capital Finance Australia hit with $1.5 million penalty over false or misleading representations

2 Jul

14-148MR

Newcrest ordered to pay $1.2 million for breaching continuous disclosure laws

2 Jul

14-147MR

ASIC permanently bans Victorian insurance broker

1 Jul

14-146MR

ASIC provides interim relief on key management personnel equity instrument disclosures

1 Jul

14-145MR

Former WealthSure financial adviser jailed for $500,000 fraud



June 2014




Date

Number

Topic

27 Jun

14-144MR

Former investment manager jailed

27 Jun

14-143MR

ASIC makes determination about Global Metals

26 Jun

14-142MR

ASIC statement on Senate Economics Committee report

27 Jun

14-141MR

Findings from 31 December 2013 financial reports

27 Jun

14-140MR

ASIC's audit inspection findings for 2012-13

25 Jun

14-139MR

Former liquidator’s banning reduced

24 Jun

14-138MR

Industry Super Australia agrees to change comparative advertising

20 Jun

14-137MR

Directors of Queensland lending business sentenced on dishonesty charges

20 Jun

14-136MR

ASIC pilot program frees up business names for registration

20 Jun

14-135MR

ASIC permanently bans former Southport based financial adviser

20 Jun

14-134MR

ASIC permanently bans former financial services and credit representative

18 Jun

14-133MR

Newcrest admits to breaching continuous disclosure laws

17 Jun

14-132MR

ASIC releases information sheet on super fee and cost disclosure and defers section 29QC

17 Jun

14-131MR

New South Wales man jailed for market manipulation

16 Jun

14-130MR

ASIC permanently bans veteran adviser

16 Jun

14-129MR

ASIC guidance for disclosure on superannuation websites

16 Jun

14-128MR

NSW liquidator ceases practice

13 Jun

14-127MR

ASIC suspends former Banksia auditor for five years

13 Jun

14-126MR

Reward Minerals pays penalty for alleged continuous disclosure breach

11 Jun

14-125MR

Guilty pleas in Phosphagenics matter

10 Jun

14-124MR

ASIC bans former Victorian client adviser for five years

10 Jun

14-123MR

14-123MR Merrill Lynch Equities (Australia) Limited pays $65,000 infringement notice penalty

10 Jun

14-122MR

ASIC bans bankrupt financial adviser

3 Jun

14-121MR

ASIC obtains extension of injunction freezing bank accounts of Sino Australia Oil and Gas Limited


May 2014




Date

Number

Topic

30 May

14-120MR

Focuses for 30 June 2014 financial reports

28 May

14-119MR

ASIC seeks orders against book up provider for unconscionable conduct and Credit Act breaches

28 May

14-118MR

Former finance broker convicted of fraud

28 May

14-117MR

Former mortgage broker convicted of falsifying home loan applications

28 May

14-116MR

ASIC proposals to facilitate foreign companies offering securities

27 May

14-115MR

ASIC encourages platforms to review compliance with class orders

27 May

14-114MR

ASIC releases report on confidential information

26 May

14-113MR

ASIC reports on decisions to cut red tape

23 May

14-112MR

Newcastle man pleads guilty to disseminating false information

23 May

14-111MR

ASIC bans convicted Victorian finance broker from credit activities

22 May

14-110MR

ASIC reviews MySuper product dashboards

21 May

14-109MR

ASIC concerns prompt Sentry Financial Services to undertake a review of SMSF advice

21 May

14-108MR

ASIC takes civil action against Astra Resources and its directors

20 May

14-107MR

ASIC bans former Sydney trader

20 May

14-106MR

ASIC updates public comment guide

19 May

14-105MR

ASIC reports on dark liquidity rules

16 May

14-104MR

ASIC to impose licence conditions on two Commonwealth Bank financial planning businesses

16 May

14-103MR

Former Perth director jailed for providing false and misleading information

15 May

14-102MR

Australian Mutual Holdings pays $20,400 in penalties for misleading statements

14 May

14-101MR

ASIC accepts enforceable undertaking from LCL Capital Pty Ltd

9 May

14-100MR

Two men arrested for insider trading and abuse of public office, $7 million restrained

7 May

14-099MR

ASIC reports on red-tape reduction and invites feedback

6 May

14-098MR

Sydney man charged with insider trading

6 May

14-097MR

ASIC wind-up actions enable access to employee entitlements

6 May

14-096MR

ASIC response to ABC TV’s Four Corners program 5 May 2014

6 May

14-095MR

D2MX Pty Ltd pays $110,000 infringement notice penalty

2 May

14-094MR

Former director of insurance company charged with multiple counts of dishonest conduct

2 May

14-093MR

NAB Wealth to refund customers after review of system


April 2014




Date

Number

Topic

6 May

14-097MR

ASIC wind-up actions enable access to employee entitlements

6 May

14-096MR

ASIC response to ABC TV’s Four Corners program 5 May 2014

6 May

14-095MR

D2MX Pty Ltd pays $110,000 infringement notice penalty

2 May

14-094MR

Former director of insurance company charged with multiple counts of dishonest conduct

2 May

14-093MR

NAB Wealth to refund customers after review of system

30 Apr

14-092MR

ASIC bans former Melbourne credit representative

29 Apr

14-091MR

Virgin Money pays $30,600 penalty for misleading advertising

29 Apr

14-090MR

ASIC bans Sydney directors following company failures

29 Apr

14-089MR

ASIC accepts enforceable undertaking from Perth liquidator

29 Apr

14-088MR

ASIC to suspend liquidator from industry

28 Apr

14-087MR

ASIC cancels Banksia's AFS licence

24 Apr

14-086MR

ASIC cancels Parramatta insurance broker's AFS licence

17 Apr

14-085MR

Sonray director jailed following $46 million collapse

17 Apr

14-084MR

Asia region funds passport industry consultation paper

17 Apr

14-083MR

ASIC's OTC electricity derivatives report

16 Apr

14-082MR

Kleenmaid auditor suspended

16 Apr

14-081MR

NSW man pleads guilty to $260,000 fraud

16 Apr

14-080MR

CALDB suspends NSW joint liquidator for six months

15 Apr

14-079MR

Former CEO of IT companies charged

15 Apr

14-078MR

ASIC bans convicted former adviser from credit industry

11 Apr

14-077MR

Former Portfolio manager pleads guilty to misusing his position

11 Apr

14-076MR

ASIC obtains orders cancelling 15 million shares held in Northwest Resources Limited

11 Apr

14-075MR

Wealth Within Ltd pays $20,400 in penalties over misleading advertising

9 Apr

14-074MR

ASIC bankrupts 'perpetual engine' spruiker

9 Apr

14-073MR

AAT varies banning period of Edward Richard George

8 Apr

14-072MR

ASIC reports on supervision of registered liquidators for 2013

8 Apr

14-071MR

ASIC’s submission to the 2014 Financial System Inquiry

7 Apr

14-070MR

ASIC launches small business stakeholder survey

4 Apr

14-069MR

Hancock group of companies face court over late accounts

4 Apr

14-068MR

ASIC bans former Commonwealth Financial Planning adviser from financial services and credit activities

3 Apr

14-067MR

ASIC takes civil action against Mariner and its directors

2 Apr

14-066MR

ASIC response to James Wheeldon allegations

2 Apr

14-065MR

Small amount lender pays $30,600 penalty for misleading online advertisements

1 Apr

14-064MR

Former Kleenmaid directors ordered to stand trial

1 Apr

14-063MR

Three Sydney men convicted of insider trading



March 2014




Date

Number

Topic

28 Mar

14-062MR

ASIC bans bankrupt financial adviser

28 Mar

14-061MR

ASIC permanently bans former WA accountant

28 Mar

14-060MR

Former finance broker pleads guilty to fraud

27 Mar

14-059MR

Melbourne man pleads guilty to $1 million fraud

26 Mar

14-058MR

ASIC concerns about ANZ advertising

26 Mar

14-057MR

ASIC accepts enforceable undertaking from Franchelen Pty Ltd

25 Mar

14-056MR

ASIC permanently bans former authorised representative

20 Mar

14-055MR

ASIC reports on penalties for corporate wrongdoing

19 Mar

14-054MR

Hartleys Limited pays $35,000 infringement notice penalty

19 Mar

14-053MR

ASIC publishes seventh market supervision report

18 Mar

14-052MR

ASIC cancels Australian financial services licence of AIE Fiduciary Services Pty Ltd

18 Mar

14-051MR

SuperHelp Australia Pty Ltd pays infringement notice in relation to ‘FREE’ SMSF fund setup claims

17 Mar

14-050MR

Instinet Australia Pty Limited pays $50,000 infringement notice penalty

17 Mar

14-049MR

Commonwealth Securities Limited pays $55,000 infringement notice penalty

17 Mar

14-048MR

Two Melbourne companies fined for failing to lodge financial reports

17 Mar

14-047MR

ASIC information sheet on audit quality

14 Mar

14-046MR

Hotel entrepreneur jailed after Crown appeal

14 Mar

14-045MR

ASIC obtains urgent injunction freezing bank accounts of Sino Australia Oil & Gas Ltd

12 Mar

14-044MR

Statement on Financial Ombudsman Service review

12 Mar

14-043MR

ASIC bans former Westpac bank home finance manager in relation to false loan applications

11 Mar

14-042MR

Former BG executive’s insider trading conviction quashed

12 Mar

14-041MR

Smart people not so smart with their money

10 Mar

14-040MR

ASIC warns Australian borrowers about overseas lending scam

5 Mar

14-039MR

Former financial adviser convicted for dishonest conduct

3 Mar

14-038MR

ASIC facilitates internet securities offers


February 2014




Date

Number

Topic

27 Feb

14-037MR

Melbourne businessman to stand trial

25 Feb

14-036MR

ASIC accepts enforceable undertaking from online FX broker operating managed discretionary accounts

24 Feb

14-035MR

ASIC investigation leads to Cash Stop Financial Services Pty Ltd refunding more than 650 consumers

21 Feb

14-034MR

ASIC sale of shares in Avalon Minerals Limited

19 Feb

14-033MR

ASIC accepts enforceable undertaking from former director

18 Feb

14-032MR

ASIC information sheet on whistleblowers and whistleblower protection

18 Feb

14-031MR

Perth director pleads guilty

18 Feb

14-030MR

ASIC concerns about loan applications result in cancellation of mortgage broker’s licence

13 Feb

14-029MR

Decision in Walton liquidators’ independence hearing

13 Feb

14-028MR

ASIC accepts enforceable undertaking from Sydney-based auditors

12 Feb

14-027MR

ASIC cancels Capital Advisers' licence

10 Feb

14-026MR

ASIC extends shorter PDS regime

10 Feb

14-025MR

Diploma Group Ltd issued infringement notice for continuous disclosure breach

6 Feb

14-024MR

Court freezes assets and restrains travel following collapse of the Charterhill group

5 Feb

14-023MR

ASIC statement on Senate Inquiry

5 Feb

14-022MR

Finance broker pays $20,400 infringement notice penalty

4 Feb

14-021MR

Unlicensed rental companies enter into enforceable undertaking with ASIC

4 Feb

14-020MR

ASIC updates hybrid information for investors


January 2014




Date

Number

Topic




31 Jan

14-019MR

Pershing Securities Australia Pty Ltd pays $15,000 infringement notice penalty

31 Jan

14-018MR

ASIC enforcement report – July to December 2013

31 Jan

14-017MR

ASIC releases report on regulating complex products

29 Jan

14-016MR

New South Wales man charged with market manipulation

28 Jan

14-015MR

South Yarra accountant pleads guilty to ASIC charges

28 Jan

14-014MR

ASIC accepts enforceable undertaking from BNP Paribas

28 Jan

14-013MR

ASIC reports on decisions to cut red tape – June to September 2013

23 Jan

14-012MR

ASIC bans former Sydney mortgage broker and real estate agent

23 Jan

14-011MR

ASIC bans key person and responsible manager from Melbourne credit business

21 Jan

14-010MR

NSW man fronts court charged with $260,000 fraud

21 Jan

14-009MR

Citigroup Global Markets Australia Pty Limited pays $40,000 infringement notice penalty

20 Jan

14-008MR

Brisbane company fined for failing to lodge annual reports with ASIC

20 Jan

14-007MR

ASIC continues to focus on funeral insurance

14 Jan

14-006MR

ASIC Chairman releases IOSCO travel spending and 2014 travel agenda

9 Jan

14-005MR

ASIC accepts enforceable undertaking from Tru Blu

8 Jan

14-004MR

Presentation of financial statements by stapled entities

8 Jan

14-003MR

AAT affirms ASIC's banning of a Wollongong financial planner

7 Jan

14-002MR

ASIC issues class order providing relief for the mfund service

6 Jan

14-001MR

Media Super pays infringement notice in relation to superannuation advertising


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