The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today launched a consultation on amendments to the research provisions

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published a Consultation Paper (CP) on draft technical advice

On 22 October 2024, the Federal Court made orders appointing Helen Newman and Andrew Fielding of BDO as receivers and managers of the property of

We note the Court of Appeal judgment on motor finance commission and are carefully considering its decision. In January, we introduced a pause to the

On 23 October 2024, MCI Global Investments Advisors Limited entered into Creditors Voluntary Liquidation. Gareth Howarth of Path Business Recovery Limited was appointed as liquidator.

The FCA has published the results of a survey to better understand how firms record and manage allegations of non-financial misconduct. The survey of over

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has released today the Report ‘​From black box to open book?’.

On 18 October 2024, ASIC cancelled the Australian financial services (AFS) licence of Next Generation Advice Pty Ltd (in Liquidation) (Next Gen). Next Gen’s licence

I am delighted that this event has been widened out to the whole wealth management sector, not just the PIMFA membership, and to see so

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has issued today its annual European Common Enforcement Priorities (ECEP) Statement