ASIC has permanently banned former NSW-based insurance broker Cesar Cutro from providing any financial services. Mr Cutro has also been banned from controlling, whether alone

ASIC today released the exam results from the 23rd Financial Advisers Exam cycle held in November 2023. The exam, conducted by the Australian Council for

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, will launch a Common Supervisory Action (CSA) with National Competent Authorities

ASIC has banned Darron Mink from providing financial services or engaging in credit activities for a period of five years. Mr Mink was an authorised

The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its annual peer review report on the supervision of EU

The amount of interest earned by some firms has increased as rates have risen. The FCA recently surveyed 42 firms and found the majority retain

The Financial Services and Credit Panel (FSCP) has made a registration prohibition order against financial adviser Stephen Rogers from 7 December 2023 until after 6

On 8 December 2023, Peter Neil Landau, of Claremont, Western Australia, was sentenced before the Supreme Court of Western Australia to five years and two

ASIC has prohibited Robin Raju of Parramatta, New South Wales from engaging in credit activities for two years under its banning powers. ASIC has also

The three European Supervisory Authorities (EBA, EIOPA and ESMA – the ESAs) today published a Report on innovation facilitators, a term encompassing innovation hubs and