The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today publishes a Statement on its 2022 Common Supervisory Action (CSA)
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, is today launching a Common Supervisory Action (CSA) with National Competent
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
The Financial Conduct Authority has reviewed liquidity management in asset managers and found that firms need to increase their focus on liquidity risk. As things
On 28 June 2023, a liquidator disciplinary committee (the Committee) decided that Richard Ernst Auricht’s registration as a liquidator should be cancelled. ASIC’s referral to
ASIC has disqualified Edoardo Perlo of Fortitude Valley, Queensland, from managing corporations for four years, after his involvement in three failed companies. Mr Perlo was
ASIC has disqualified Gene Robert Farrelly from managing corporations for five years due to his involvement in the failure of five companies. Since February 2012,
Openmarkets Australia Limited (ACN 090 472 012) (Openmarkets) has paid the largest ever penalty imposed by the Markets Disciplinary Panel (MDP) of $4.5 million and entered
A series of measures to help strengthen the UK’s leading position as a global and vibrant financial centre have been announced by the FCA. To
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