ASIC is launching a new streamlined Professional Registers Search (PRS). Releasing in late June 2024, the PRS allows users to review and search all of

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today published a combined report on its 2023 Common Supervisory Action

Daniel Farook Ali, former director of DanFX Trade Pty Ltd, has been sentenced in the Brisbane District Court to seven years and three months imprisonment

The Financial Conduct Authority (FCA) has confirmed that several firms have been permitted to recommence their sales of Guaranteed Asset Protection (GAP) insurance, following action

The FCA has decided to ban Stephen Joseph Burdett and James Paul Goodchild from working in regulated financial services for recklessly exposing pension holders to

The Federal Court has found Cigno Australia Pty Ltd (Cigno Australia) and BSF Solutions Pty Ltd (BSF Solutions) engaged in credit activity without an Australian

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is launching today a public consultation on proposed changes to the

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is inviting comments on draft technical standards related to Consolidated Tape

Failures in the firm’s systems and controls led to US$1.4bn of equities being sold in European markets when they should not have been. On 2

Between June 2017 and October 2018, HSBC failed to properly consider people’s circumstances when they had missed payments. This meant it did not always do