Media releases and advisories

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Enforceable undertakings
Credit and ASIC Act infringement notices register

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May 2013

Date	Number	Topic
24 May	13-120MR	ASIC appeals decision in Macquarie Bank class action settlement
24 May	13-119MR	Queensland man charged with market manipulation
23 May	13-118MR	Former Bell Potter advisor sentenced to 5 years jail
23 May	13-117MR	ASIC to further improve hedge fund disclosure
23 May	13-116MR	ASIC releases ASX assessment report
23 May	13-115MR	ASIC reports on relief decisions – October 2012 to January 2013
22 May	13-114MR	Former managing director of stockbroking firm convicted of insider trading
22 May	13-113MR	ASIC permanently bans motor vehicle finance and insurance broker
23 May	13-112MR	ASIC concerns sees payday lender change advertising
21 May	13-111MR	Essington School students get MoneySmart
20 May	13-110MR	ASIC consults on reforms for charitable investment fundraising
17 May	13-109MR	Former director of South Australian insurance broker sentenced
16 May	13-108MR	Sydney businessman Andrew Sigalla charged with breaches of directors duties
16 May	13-107MR	ASIC shuts down China Environment Group share scam
15 May	13-106MR	ASIC cancels Money Choice's licence and bans its director, Matthew George
14 May	13-105MR	Statement on Westpoint action
10 May	13-104MR	Former ABC Learning CFO charged
9 May	13-103MR	ASIC updates guidance for new hardship obligations
9 May	13-102MR	ASIC makes new rules for ASX 24 market
7 May	13-101MR	ASIC concerns lead to insurance comparison website changes
6 May	13-100MR	ASIC cancels licences of All Class Insurance Brokers
6 May	13-099MR	ASIC bans Perth financial adviser for three years
7 May	13-098MR	ASIC helps teens become mobile phone savvy
6 May	13-097MR	Licensees urged to review and improve recruitment of new advisers
2 May	13-096MR	ASIC releases quarterly cash equity market data
1 May	13-095MR	Consumers warned about scam impersonating ASIC
1 May	13-094MR	ASIC reports on supervision of registered liquidators
1 May	13-093MR	ASIC health check on capital protected products

April 2013

Date	Number	Topic

30 April	13-092MR	ASIC consults National Financial Literacy Strategy
29 April	13-091MR	Former Bell Potter adviser sentenced for dishonest conduct
29 April	13-090MR	ASIC accepts enforceable undertaking from Solar Rental Company
29 April	13-089MR	ASIC obtains Supreme Court orders against unlicensed and fraudulent Gold Coast based financial services business
24 April	13-088MR	Fair Finance Australia pays infringement notice penalty
22 April	13-087MR	Former SMSF adviser sentenced
22 April	13-086MR	SMSF auditors urged to register
22 April	13-085MR	ASIC releases guidance on managing conflicts of interest in litigation schemes and proof of debt schemes
18 April	13-084MR	Former broker convicted of insider trading
18 April	13-083MR	Former director sentenced for insider trading
18 April	13-082MR	ASIC cancels Flowers Financial Management Pty Limited's licence
18 April	13-081MR	Maintaining a healthy SMSF sector: Improving the quality of advice
16 April	13-080MR	ASIC bans Sydney mortgage broker and cancels his Australian credit licence
12 April	13-079MR	Former financial adviser charged with failing to provide appropriate advice to clients
11 April	13-078MR	Update on financial advisers exam
10 April	13-077MR	ASIC appeal sees former CFO jailed
10 April	13-076MR	ASIC review prompts City Index Australia into enforceable undertaking
9 April	13-075MR	ASIC suspends AFS licence of LM Investment Management Limited
9 April	13-074MR	Former Citigroup broker pleads guilty to insider trading
9 April	13-073MR	ASIC releases policy on cooperation and third enforcement report
5 April	13-072MR	ASIC releases information sheets on Stronger Super provisions
4 April	13-071MR	ASIC review prompts Halifax to enter into enforceable undertaking
4 April	13-070MR	BoQ to refund customers after system error
3 April	13-069MR	ASIC bans accountant for dishonest conduct
3 April	13-068MR	Securities dealer scales down operations following ASIC review
2 April	13-067MR	Former director pleads guilty to fraud charges

March 2013

Date	Number	Topic
28 Mar	13-066MR	ASIC consults on trade reporting obligations for OTC derivatives
27 Mar	13-065MR	ASIC finalises regulatory framework for retail trading of Commonwealth Government Securities
27 Mar	13-064MR	ASIC releases guidance for operating and financial reviews
25 Mar	13-063MR	Public warned about scams impersonating ASIC and Sydney Credit Union
25 Mar	13-062MR	ASIC and the French AMF update MOU on assistance and mutual cooperation
22 Mar	13-061MR	ASIC warns consumers about Global Capital Wealth
21 Mar	13-060MR	ASIC permanently bans Sydney insurance broker
21 Mar	13-059MR	ASIC consults on risk management for responsible entities
20 Mar	13-058MR	WA men acquitted on insider trading charges
20 Mar	13-057MR	ePayments code: New era in electronic payments protection
20 Mar	13-056MR	ASIC consults on reforms to superannuation forecasts
19 Mar	13-055MR	ASIC appeal upheld
19 Mar	13-054MR	Provisional liquidators appointed in SMSF investigation
19 Mar	13-053MR	ASIC acts to stop offshore scam netting Australian investors
18 Mar	13-052MR	ASIC reports on dark liquidity and high-frequency trading
15 Mar	13-051MR	ASIC consults on trade repository regime
15 Mar	13-050MR	ASIC cancels the licence of Addwealth Financial Services
14 Mar	13-049MR	Former consultant sentenced for insider trading
14 Mar	13-048MR	ASIC seeks stakeholder feedback
13 Mar	13-047MR	ASIC welcomes updated guidance on continuous disclosure
13 Mar	13-046MR	ASIC review sharpens credit licensees' supervision of representatives engaged in mortgage broking
11 Mar	13-045MR	ASIC cancels Australian credit licence of a Cairns money lender and bans director for four years
8 Mar	13-044MR	Female and financially fit
8 Mar	13-043MR	ASIC consults on regulatory approach to managed discretionary accounts
7 Mar	13-042MR	ASIC imposes conditions on Lionsgate licence
6 Mar	13-041MR	Former Astarra investment manager permanently banned from financial services industry
4 Mar	13-040MR	ASIC’s MoneySmart releases new reverse mortgage calculator
1 Mar	13-039MR	Former managing director of stockbroking firm pleads guilty to insider trading
4 Mar	13-038MR	ASIC releases guidance on conflicted remuneration ban
1 Mar	13-037MR	ASIC releases guidance on code approval under FOFA

February 2013

Date	Number	Topic
26 Feb	13-036MR	ASIC publishes fifth market supervision report
25 Feb	13-035MR	ASIC updates guidance on responsible lending to include new laws
25 Feb	13-034MR	ASIC accepts undertaking from Sydney liquidator
25 Feb	13-033MR	ASIC cancels Melbourne liquidator's registration and bans him from managing corporations
22 Feb	13-032MR	Former Hogan and Partners stockbroker sentenced to jail for $7.5 million fraud
21 Feb	13-031MR	Ponzi scheme ‘mastermind’ handed record penalty
21 Feb	13-030MR	Self-managed super adviser sentenced on ASIC charges
20 Feb	13-029MR	ASIC Digital activities help primary students get cash savvy
19 Feb	13-028MR	ASIC takes action against mobile rentals, cancelling its licence and banning its director
15 Feb	13-027MR	Former Hanlong Mining executive jailed for insider trading
14 Feb	13-026MR	Stronger Super implementation
13 Feb	13-025MR	Ponzi scheme operators jailed
13 Feb	13-024MR	ASIC consults on reforms to regulation of the debenture sector
12 Feb	13-023MR	ASIC obtains court orders against Sydney financial adviser
12 Feb	13-022MR	ASIC accepts enforceable undertaking from Mr Rental
11 Feb	13-021MR	ASIC takes action against Zaam rentals, cancelling its licence and banning its directors
7 Feb	13-020MR	Sydney director banned from engaging in credit activities, Australian credit licence suspended
6 Feb	13-019MR	ASIC cancels licences of national financial planning business
6 Feb	13-018MR	ASIC permanently bans former WA credit representative
4 Feb	13-017MR	Insurance broker pleads guilty to theft
4 Feb	13-016MR	Make a date to talk about money
1 Feb	13-015MR	ASIC appoints Morgan Stanley to sell shares in CMI Limited

January 2013

Date	Number	Topic
31 Jan	13-014MR	ASIC cancels AAA Shares Pty Ltd's licence
31 Jan	13-013MR	SMSF auditor register is here
31 Jan	13-012MR	ASIC reports on relief decisions - June to September 2012
29 Jan	13-011MR	Sydney man charged with insider trading conspiracy
29 Jan	13-010MR	ASIC accepts enforceable undertaking from Macquarie Equities Ltd
25 Jan	13-009MR	ASIC consults on a database for small amount loans
24 Jan	13-008MR	Former mortgage broker convicted
25 Jan	13-007MR	ASIC releases guidance on FOFA fee disclosure statements.
22 Jan	13-006MR	ASIC accepts permanent undertaking from former Adelaide insurance broker
22 Jan	13-005MR	Susquehanna Pacific Pty Ltd pays $25,000 infringement notice penalty
21 Jan	13-004MR	ASIC encourages good disclosure from defined benefit fund trustees
11 Jan	13-003MR	ASIC extends relief from regulation for all funded representative actions and funded proof of debt arrangements
8 Jan	13-002MR	Make a MoneySmart pledge for 2013
8 Jan	13-001MR	ASIC suspends financial services licence of Sydney based financial planning business

Earlier releases

2006 and earlier releases

ASIC Website: Printed 05/26/2013

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