All posts tagged "client money rules"
-
124Australia & NZASIC Removes SocGen Securities Licence Conditions
Independent expert did not identify any deficiencies in the adequacy and effectiveness of SocGen's client money controls.
June 27, 2021 -
295Australia & NZASIC Imposes Licence Conditions on OTC Derivatives Issuer AxiCorp
ASIC has agreed to set aside a January 2020 decision to suspend AxiCorp’s AFS licence following the imposition of additional licence conditions.
March 15, 2021 -
650Australia & NZSydney Court Orders SocGen Securities to Pay A$30,000 Penalty
SocGen pleaded guilty in July for failing to pay client money into segregated authorised bank accounts and for making payments out of a client money account that were not permitted.
October 23, 2020 -
606Australia & NZ
SocGen Australia Pleads Guilty to Client Money Offences
SocGen failed to pay client money into segregated authorised bank accounts and made payments out of a client money account that were not permitted.
July 2, 2020 -
660Australia & NZ
ASIC Imposes Licence Conditions on Societe Generale Securities
Societe Generale Securities Australia self-reported to ASIC that it deposited client money into unauthorised bank accounts.
June 16, 2020
