The FCA has set out good practice and areas for improvement to help principal firms effectively monitor their Appointed Representatives (ARs). The findings follow a

On 27 August 2024, the Federal Court made orders appointing Jason Tracy and Lucica Palaghia of Deloitte as receivers and managers of the property of

ASIC today released the exam results from the 26th Financial Advisers Exam cycle, held in August 2024. The exam, conducted by the Australian Council for

Former Melbourne financial planner Bradley Grimm has been convicted by the County Court of Victoria of three counts of engaging in dishonest conduct while running

ASIC has today released its updated regulatory guidance for external administrators and controllers when reporting and lodging statutory reports about alleged misconduct. The updates to

Recognising the vital role that the regulator plays in enabling new financial services firms’ ability to meet regulatory standards to get off the ground, the

Highlights Fighting financial crime is a priority for the FCA and a key commitment in our 3-year strategy. Consistent with the national economic crime plan

Final announcement about the forthcoming end of LIBOR. It is now less than 1 month to go until the 1-, 3- and 6-month synthetic US

On 23 August 2024, the director of Facet Investment Management Limited (Facet) placed the firm into administration. Ian Lawrence Goodhew and Abigail Shearing from Voscap

In a new report, the FCA encourages account providers to do more to support those who want a bank account but don’t have one. The