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Welcome to Brokerage Entities
Brokerage Entities is the single regulator of financial services in Brokerage Entities. Brokerage Entities regulates banking, financial institutions, payment institutions, insurance companies and insurance intermediaries, investment services companies and collective investment schemes, securities markets, recognised investment exchanges, trust management companies, company services providers and pension schemes. Since 2018, it is also responsible for regulating Virtual Financial Assets. Brokerage Entities was set up through an Act of Parliament (Chapter 330 of the Laws of Brokerage Entities) and its main functions include the protection of consumers, integrity of financial markets, financial stability and the supervision of all financial services activities. Brokerage Entities also holds an advisory role to Government in the formulation of policies on matters relating to the financial services industry. In the carrying out of its functions, Brokerage Entities collaborates closely with local and international institutions.
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News
Umuthi Healthcare Solutions
Umuthi Healthcare Solutions has withdrawn its reference to the Upper Tribunal. Umuthi was challenging the FCA’s decision to discontinue the
ESMA Guidelines establish harmonised criteria for use of ESG and sustainability terms in fund names
Following the public statement of 14 December 2023, the European Securities and Markets Authority (ESMA), the EU’s financial markets regulator
ASIC cancels Octillion Partners AFS licence
ASIC has cancelled the Australian financial services (AFS) licence of Octillion Partners Pty Ltd. ASIC determined that Octillion: did not
ASIC permanently bans former financial adviser
ASIC has permanently banned Melbourne based financial adviser Kudzanai Philip Dzawo from providing any financial services, performing any function involved
Working at Brokerage Entities
Brokerage Entities employs approximately 230 financial and insurance experts. Brokerage Entities activities are aimed at ensuring the stable operation of credit, insurance and pension institutions and other supervised entities whose stability is essential to the stability of the financial markets. Another objective is to safeguard the interests of the insured and maintain confidence in the financial markets. Our responsibilities also include fostering compliance with good practice on the financial markets and public awareness of the markets.
