Insurers and brokers have improved governance and oversight of how products are designed, managed, reviewed, and distributed, but many still cannot show how they are
As it marks the first-year anniversary of investment scam disruption, ASIC announced today the takedown of more than 7,300 phishing and investment scam websites that
The FCA has fined PricewaterhouseCoopers LLP (PwC) for failing to report to the regulator their belief that London Capital & Finance plc (LCF) might be
ASIC has disqualified Richard Andrew Sparreboom of Chirnside Park, Victoria, from managing corporations for the maximum period of five years due to serious misconduct. Between
The FCA has censured the auditor Macintyre Hudson LLP (MHA) for failing to prepare client assets reports to the required standard. MHA failed to notify
ASIC has commenced proceedings in the Federal Court against Australia’s largest market operator, ASX Limited, for allegedly making misleading statements related to its Clearing House
The FCA has fined Cypriot contract for differences (CFD) firm Forex TB Limited (FXTB) £276,100 for failing to treat its customers fairly, and for providing
The FCA has banned Martin Sarl from working in the financial services industry and fined him £5,021 for acting without honesty and integrity. Between 7
On 2 July 2024, Central Markets Investment Management Limited (CMIM) entered creditors’ voluntary liquidation. Dominik Thiel-Czerwinke and Louise Donna Baxter of Begbies Traynor (Central) LLP
The Joint Board of Appeal (“The Board”) of the European Supervisory Authorities (ESAs) (the EBA, ESMA and EIOPA) unanimously decided that the appeal brought by