ASIC has commenced civil penalty proceedings in the Federal Court against Bit Trade Pty Ltd, provider of the Kraken crypto exchange to Australian customers. ASIC

The FCA has published the findings of its initial data exercise on bank account access and closures. The information supplied by banks, building societies and

Market participant Interactive Brokers Australia Pty Ltd (ACN 166 929 568) (Interactive Brokers) has paid a penalty of $832,500 to comply with an infringement notice

ASIC is extending the date by which relevant providers – financial advisers who provide personal advice to retail clients on relevant financial products (including time

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) today issued their Autumn 2023 Joint Committee Report on risks and vulnerabilities in the

ASIC has released exam results from the 22nd Financial Advisers Exam cycle, held in August 2023. The exam has been continuously conducted by the Australian

In a review of later life mortgage firms, the Financial Conduct Authority has worked with the largest firms to improve their advice processes and prompted

ASIC has released Consultation Paper 372 Guidance on insolvent trading safe harbour provisions: Update to RG 217 seeking feedback on our proposed updates to Regulatory

The FCA found that between June 2015 and December 2017, Mr Dickinson provided pension transfer advice, which Mr Allen signed off, that was unsuitable. Mr

Firms approving financial marketing for unregulated firms will have to demonstrate they have the necessary skills and expertise to approve adverts. Those signing them off