ASIC has banned Gold Coast-based financial adviser Jeneve Matai from providing financial services for four years. The banning took effect on 13 December 2022. Mr

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its 2022 Corporate Reporting Enforcement and Regulatory Activities

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has withdrawn the credit rating agency (CRA) registration of Scope Hamburg

We set out some of the feedback on our proposals and our next steps, including timing of the Policy Statement. We are working to build

The Australian Government is aware of a cyber incident impacting Latitude Financial Services. If you think you may be affected by the breach, contact Latitude

ALT Financial Group Ltd ACN 609 449 194 has been convicted on multiple charges, including failing to lodge annual financial reports with ASIC, and fined

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has launched a consultation on amendments to its Guidelines for Trade

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has issued today a Public Statement addressing investor protection concerns raised

ASIC is seeking feedback from operators of investor directed portfolio services (IDPS) and responsible entities of IDPS-like schemes on proposals to remake ‘sunsetting’ class orders.

On 24 March 2023, Fong Financial Planners Pty Ltd pleaded guilty in the Perth Magistrates Court to three charges of dishonest conduct while carrying on