He was also given a Rehabilitation Activity Requirement of 35 days and ordered to carry out 150 hours of unpaid work. On 28 March 2024,

Mr Sardar was interviewed by the FCA as part of an investigation it was conducting into a sophisticated boiler room scam that had defrauded 120

Two Western Australian directors have been convicted in the Perth Magistrates Court and fined $5,000 each for failing to comply with director identification requirements. Alexander

ASIC has commenced urgent proceedings in the Federal Court against Sunny Mahendra Prakash and his related companies, Principal Financial Services Pty Ltd, Self-Managed Super Pty

ASIC is calling on superannuation trustees to renew efforts to protect members from unscrupulous operators amid evidence of inadequate oversight of advice fee deductions. A

Following an ASIC investigation, the Markets Disciplinary Panel (MDP) has fined J.P. Morgan Securities Australia Limited (JPMSAL) $775,000 for permitting suspicious client orders to be

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its latest edition of the Spotlight on Markets Newsletter. Your one-stop-shop in the

The former CEO of Shard Capital Partners has been fined £120,300 and banned by the Financial Conduct Authority (FCA). James Lewis, the former CEO of

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today publishes a Call for Evidence on the review of the

ASIC is warning consumers to be wary after an ASIC review identified some cold calling operators using high-pressure sales tactics and online click-bait advertisements to