In a landmark case for ASIC, the Federal Court has ordered Mercer Superannuation (Australia) Limited to pay a $11.3 million penalty after it admitted it

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published the new quarterly liquidity assessment of bonds and

On 24 July 2024, Lonsdale Insurance Brokers Limited (Lonsdale) entered creditors’ voluntary liquidation. Neil Bennett and Alex Cadwallader of Leonard Curtis were appointed as joint

ASIC has suspended the Australian financial services (AFS) licence of Id Funds Management Limited (Id Funds) until 28 February 2025. The licence was suspended on

ASIC is extending for a further 12 months the transitional relief for foreign financial services providers (FFSPs) from the requirement to hold an Australian financial

ASIC has disqualified Sydney-based director Dominique Grubisa from managing corporations for 18 months following her involvement in the failure of two companies.  The disqualification took effect

ASIC has banned Joel James Hewish for 10 years from providing financial services, performing any function involved in carrying on of a financial services business

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor authority, issued today an Opinion to address the risks presented by

Highlights We welcome the improvements firms have made to deliver better consumer outcomes in the first year of the Duty. The outcomes-based nature of the

We have imposed restrictions on wealth management firm, London Stone Securities Limited. The firm cannot undertake any regulated activity, charge any further fees to existing