ASIC proposes to extend parent entity financial reporting and auditor independence legislative instruments

ASIC cancels licence of DOD Bookkeeping Pty Ltd

ASIC has cancelled the Australian financial services licence (AFS licence) of DOD Bookkeeping Pty Ltd (in liquidation) (DOD) following a payment of compensation by the

Kristofer Ridgway charged with dishonest conduct

Former Brisbane-based financial adviser Kristofer Ridgway has been charged with 26 counts of dishonest conduct in relation to the provision of financial services, contrary to

FCA bans director following grievous bodily harm conviction

The FCA has banned Mr Ari Harris from working in financial services. In July 2020, Mr Harris was convicted of inflicting grievous bodily harm without

ASIC sues NAB for failing customers facing financial hardship

National Australia Bank (NAB) failed 345 of its customers at their most vulnerable when they applied for hardship support from the bank, according to documents

The ESAs announce timeline to collect information for the designation of critical ICT third-party service providers under the Digital Operational Resilience Act

The European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) published today a Decision on the information that competent authorities must report to them

FCA fines and bans Craig Buchan and Martin Cooke for recklessly breaching requirements

Craig Buchan and Martin Cooke, former partners of MedDen Financial Services LLP (MedDen), have been fined £6,037 and £6,020 (respectively) and banned by the FCA

ETE
Europe Trading Entities