We have already had a successful outcome in this case, fining Julius Baer over £18m. The firm allowed improper commission payments of around $3m (USD)
The FCA has started criminal proceedings against 3 people for carrying out regulated activity without authorisation. Specifically, the FCA alleges: That between 1 September 2014
The former CFO of Big Un Limited, Mr Andrew Scott Corner, has appeared via his lawyer in the Downing Centre Local Court charged with insider
ASIC-regulated entities, including publicly listed companies and other entities holding licences and authorisations, are invited to take part in a survey to measure cyber resilience
Those marketing cryptoassets to UK consumers will need to introduce a cooling-off period for first time investors from 8 October 2023, under new advertising rules
The Federal Court has ordered that unlicensed financial advisor Monica Kaur be permanently restrained from carrying on a financial business and that her unregistered managed
ASIC is seeking feedback on proposals to remake managed investment scheme unit pricing class orders that are due to expire (‘sunset’) on 1 October 2023.
Recent cyber attacks have exposed the personal data of millions of Australian customers – acting as a wake-up call for directors. With cyber attacks becoming
Ashley Vincent Arandez, of Broadbeach, Queensland has appeared at the Melbourne Magistrates Court charged with three counts of dishonest conduct contrary to section 1041G of
Search below to find any information or documents you are interested in.
We foster financial stability and confidence in the financial markets and enhance protection for customers, investors and the insured.