ASIC today published a report to help entities improve their arrangements for handling whistleblower disclosures, and ensure they are effective and encourage people to speak
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published its Effects Assessment of the introduction of the
ASIC has commenced civil penalty proceedings in the Federal Court against TerraCom Limited, its managing director Daniel McCarthy, chief commercial officer Nathan Boom, former Chair
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, has today published the results of the annual transparency calculations for
Almost all firms and individuals offering, promoting or selling financial services or products in the UK have to be authorised or registered by us. This
ASIC has launched its first court action against alleged greenwashing conduct, commencing civil penalty proceedings in the Federal Court against Mercer Superannuation (Australia) Limited (Mercer)
The Star Entertainment Group Ltd (The Star) has provided for fines and penalties of $150 million from alleged non-compliance with anti-money laundering laws in its
ASIC has commenced civil penalty proceedings in the Federal Court against Noumi Limited (formerly Freedom Foods Group Limited), its former managing director and CEO Rory
The FCA has secured money that will be paid to consumers that were subject to illegal contracts for difference (CFDs) forex trading promotions made by
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.