ASIC’s records show that as at 9am on 18 January 2024, 4,036 (26%) financial advisers who provide personal advice to retail clients on relevant products

Name: PlanAndInvests (planandinvests.com) Some firms may give incorrect contact details including postal addresses, telephone numbers and email addresses. They may change these contact details over

On 21 December 2023, a liquidator disciplinary committee (the Committee) decided that conditions should be imposed on Steven Naidenov, a registered liquidator. In summary, the

On 15 January 2024, Aviation and Tech Capital Ltd t/a Ablrate (Ablrate), a regulated Peer-to Peer (P2P) firm entered administration. Sean Bucknall, Brian Burke and

The FCA has appointed Daniel Godfrey as chair and Julia Dreblow as vice-chair of a new working group focused on building capability in sustainable finance

In 2021, the FCA banned discretionary commission arrangements. This removed the incentive for brokers to increase the interest rate that a customer pays for their

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its latest edition of the Spotlight on Markets Newsletter. Your one-stop-shop in the

ASIC has disqualified Jamie Charles Farrelly of Kingston, ACT, and Gary James Kelly of Wright, ACT, from managing corporations for two years each due to

The Federal Court has ordered four current and former directors of Endeavour Securities (Australia) Ltd (in liquidation) and Linchpin Capital Group Ltd (in liquidation) to

The three European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published a Consultation Paper on the draft implementing technical standards (ITSs) regarding