The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has released today the Report ‘From black box to open book?’.
On 18 October 2024, ASIC cancelled the Australian financial services (AFS) licence of Next Generation Advice Pty Ltd (in Liquidation) (Next Gen). Next Gen’s licence
I am delighted that this event has been widened out to the whole wealth management sector, not just the PIMFA membership, and to see so
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has issued today its annual European Common Enforcement Priorities (ECEP) Statement
ASIC has commenced court proceedings alleging QBE Insurance (Australia) Limited (QBE) misled customers about the value of discounts offered on certain general insurance products. Between
The FCA and the Practitioner Panel have published a report from our 2023/24 joint survey of FCA regulated firms. We have published the findings of
We have written to investors in Novus Black Fund UK Ltd (Novus Black Fund), an alternative investment fund based in the UK. Novus Black Fund
ASIC has cancelled the Australian financial services (AFS) licence and Australian credit licence (credit licence) of Ultiqa Lifestyle Promotions Limited (in liquidation) (Ultiqa) following payment
ASIC’s program of transformation continued in 2023–24, according to the agency’s latest annual report. ASIC Chair Joe Longo said the report highlighted a range of
On 21 October 2024, the ex-CEO of ACCE Australia Pty Ltd (ACCE), Grant Colthup, appeared in the Magistrates Court at Ipswich charged with one count