Former managing director of Global Merces Funds Management Ltd (in liquidation) Ms Holly Marie Grofski has been sentenced to offences involving the falsification of documents

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is consulting on draft regulatory technical standards (RTS) under the revised

ASIC has cancelled the Australian financial services (AFS) licence of Centurion Custodian Funds Management Ltd (Centurion), effective from 18 January 2023. The license authorised Centurion

ASIC has suspended the Australian financial services (AFS) licence of Huntley Management Limited (HML) for 12 months, effective 21 March 2023. The licence authorised HML

Former Continental Coal director, Ashley Paul D’Sylva, of Leederville, Western Australia, has been sentenced to eight months’ imprisonment to be released immediately upon entering into

ASIC has banned former Gleneagle Securities fund manager and authorised representative Gregory Tolpigin from providing financial services for three years, after he was found to

David Stock & Co Limited (David Stock & Co) made unsolicited offers of £50 to 48% of its clients who had been BSPS members and

Ms Linda Marissen, of Wembley Downs, Western Australia has appeared at the Perth Magistrates Court charged with 34 counts of enabling or aiding the commission

The Federal Court has found four companies that are or were part of the AMP Group breached the law when charging life insurance premiums and

The Federal Court has ordered MLC Limited (MLC) pay a $10 million penalty for failing to pay promised benefits, resulting from a lack of appropriate