Introduction I would like to begin by acknowledging the traditional owners and custodians of the land on which we meet today, the Wurundjeri people of

ASIC has approved a new version of the Australian Banking Association’s (ABA) Banking Code of Practice, which includes enhancements to key protections. The new Code

Introduction Good morning and thank you for hosting me at this event today. I almost didn’t turn up – not because of the sensitivities of

ASIC has obtained interim orders from the Federal Court freezing the assets of financial advice licensee United Global Capital Pty Ltd (UGC) and related property

ASIC is calling on market intermediaries to strengthen their supervisory arrangements for recording and monitoring representatives’ business communications to prevent, detect and promptly address misconduct

Since 21 September 2023, financial advisers who meet the criteria to access the experienced provider pathway have been able to rely upon the pathway as

Fertoz Limited (Fertoz) has paid $37,560 to comply with two infringement notices issued by ASIC in which ASIC alleged it made false or misleading statements

Name: STEWART & WILLIAMS CORPORATE GROUP LLP/ STEWART AND WILLIAMS CORPORATE GROUP LLP Address: 101 Greenwich Street, New York, NY, UNITED STATES OF AMERICA, 10006

The UK Secondary Markets Advisory Committee supports our work in wholesale secondary markets in equities, fixed income, foreign exchange, and commodities markets across securities, futures,

The FCA has decided to ban and fine 3 individuals who were involved in running SVS Securities Plc (SVS), a discretionary fund manager. SVS managed