The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has fined S&P Global Ratings Europe Limited (S&P) a total of
The expansion of the FCA’s enforcement and market oversight leadership team, following Mark Steward’s departure, reflects the vital role that enforcement work plays in delivering
Renato De Maria, the sole director of Alliance Management Group Pty Ltd, formerly Alliance Insurance Broking Services Pty Ltd (AIBS), has appeared in the Mansfield
ASIC has suspended the Australian financial services (AFS) licence of Cartesian Corporate Finance Limited (Cartesian) until 25 August 2023. The licence authorises Cartesian to deal
ASIC has cancelled the Australian financial services (AFS) licence of ACVM Pty Ltd (ACVM) for failing to meet its financial reporting obligations. ACVM is permitted
Trustees need to continue to focus on improving the life insurance they provide their members. A recent ASIC review highlights areas where trustees should be
Russell Sandiford, of Rockdale, New South Wales has appeared in the Downing Centre Local Court charged with dishonest conduct in relation to a financial product
ASIC has disqualified James (Jim) Soong of Concord, NSW, from managing corporations for the maximum period of five years after his involvement in two failed
ASIC has disqualified former director Roxanne Cornell of Kurunjang, Victoria, from managing corporations for the maximum period of five years due to her involvement in
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