The FCA has decided to fine Banque Havilland £10m; its former London branch CEO, Edmund Rowland, £352,000; David Weller, a former London branch senior manager,

ASIC has updated the implementation timeframe of the internal dispute resolution (IDR) data reporting framework to support smooth implementation of this important reform for firms

The Financial Conduct Authority (FCA) is today setting out actions to improve the confidence of whistleblowers – including sharing further information with whistleblowers on how

The changes are part of the Wholesale Markets Review, which we have been conducting alongside government. We are tailoring our rules to better suit UK

The FCA wants to make the listing regime, the rules companies must follow to be allowed to list their shares in the UK, more effective,

Gabriel Govinda (known online as ‘Fibonarchery’) has been sentenced to two and a half years imprisonment to be released immediately on a 5 year recognisance

ASIC today called on investment product issuers to ‘lift their game’ after an initial review found significant room for improvement in how they meet their

Ord Minnett Limited Ltd ACN 002 733 048 (Ord Minnett) has paid a penalty of $888,000 to comply with an infringement notice given by the

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has recognised four additional third country CCPs (TC-CCPs) under Article 25

ASIC has disqualified Bligh Wentworth Williams of Surfers Paradise, Queensland, from managing corporations for three years due to his involvement in the failure of two