Author Archives: ETE

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised […]

The Financial Conduct Authority (“FCA”) has published a list of providers it intends to authorise when the pre-paid funeral plans industry comes under its regulation from 29 July. There are 24 firms on the list, including the largest funeral plan providers. Together these firms hold approximately 87% of existing customer plans. The FCA is still […]

ASIC has released an information sheet to help issuers avoid ‘greenwashing’ when offering or promoting sustainability-related products. The publication will also assist issuers to provide investors with the information they should have to make informed decisions. ASIC considers ‘greenwashing’ as the practice of misrepresenting the extent to which a financial product or investment strategy is […]

Benjamin Heath Cooper of Brighton-Le-Sands, New South Wales, has pleaded guilty to conspiring to manipulate the price of shares in Quantum Resources Limited. On 16 November 2015, Mr Cooper conspired with former Quantum director Avrohom Kimelman and another to manipulate Quantum shares (20-223MR). Quantum is now known as Nova Minerals Limited. Mr Cooper pleaded guilty […]

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised […]

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised […]

ichard Lloyd OBE has become Interim Chair of the Financial Conduct Authority, as previously announced on 4 February 2022. He takes over from Charles Randell CBE, who stood down yesterday after four years as Chair. Richard will act as Chair until HM Treasury appoints a permanent successor. A recruitment process is underway. Notes to editors […]

The Financial Conduct Authority (FCA) has appointed Helen Charlton as the Chair of the Financial Services Consumer Panel, and Andy Mielczarek as the Chair of the FCA Smaller Business Practitioner Panel, succeeding Wanda Goldwag and Marlene Shiels respectively. The Consumer and Smaller Business Practitioner Panels are independent, statutory panels representing the interests of consumers and […]

We believe this firm may be providing financial services or products in the UK without our authorisation. Find out why you should be wary of dealing with this unauthorised firm and how to protect yourself. Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised […]

Ezzat-Daniel Nesseim, of Pymble, NSW, has been sentenced to a three-year intensive correctional order, including one year of home detention, for engaging in dishonest conduct and providing falsified documents to ASIC. Between 16 August 2017 and 11 October 2017, Mr Nesseim engaged in repeated dishonest conduct, including by: using three forged wholesale client certificates by […]