Following a hearing before His Honour Judge Tomlinson in Southwark Crown Court, the FCA has secured a confiscation order, under the Proceeds of Crime Act

ASIC has accepted a court enforceable undertaking from Australian Financial Services (AFS) licensee PKF Melbourne Corporate Pty Ltd (PKF). ASIC conducted an investigation which reviewed

The Markets Disciplinary Panel (MDP) issued an infringement notice to Ascot Securities Pty Ltd (Ascot) on 24 November 2023 for serious failures, requiring it to

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has withdrawn the credit rating agency (CRA) registration of EuroRating Sp.

Last year, we launched a review of the treatment of domestic Politically Exposed Persons (PEPs) by financial services firms. We had been on track to

ASIC has obtained interim orders from the Federal Court freezing the assets of the Shield Master Fund (Shield), a registered managed fund whose responsible entity

Check against delivery I’d like to begin by acknowledging the Traditional Owners of the land on which we meet today, the Dharug and Gundungurra people,

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) today published a joint Opinion on the assessment of the Sustainable Finance Disclosure Regulation

We previously placed restrictions on London Court Limited to stop it from conducting regulated activities for either new clients or new investments. We are issuing

ASIC has appealed the Federal Court’s decision to relieve Block Earner from liability to pay a penalty for contraventions related to unlicensed financial services when