The Financial Conduct Authority (FCA) has secured court approval to obtain £1.6m from Argento Wealth Ltd (AWL) and its sole director Mr Daniel Willis, who
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today publishes a letter to the European Commission, the Parliament, and
ASIC has cancelled the Australian financial services (AFS) licence of Menon & Associates Pty Ltd (489130). The licence was cancelled on the basis that Menon
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today launched a consultation on proposed amendments to Commission Delegated Regulation (EU) No
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
Sydney-based former financial adviser David Valvo appeared before the Downing Centre Local Court on 2 April 2024 charged with 12 counts of dishonest conduct in
The Federal Court has dismissed an application by Provide Nominees Pty Ltd (Provide Capital) to prevent ASIC’s further investigation of the entity. Justice Rofe agreed
The Bank of England (BoE), the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) and the Payment Systems Regulator (PSR) (together ‘the Authorities’) have
Mr Barreto was sentenced to a total of 2 years’ imprisonment, suspended for 2 years, with 120 hours of unpaid work, for 11 counts of
Mr Stuart Bayes was today found guilty of 2 offences of insider dealing, following an 8-week trial at Southwark Crown Court in a prosecution brought