News

Highlights: Global cooperation amongst regulators is vital for cross-border risks. The FCA’s three primary statutory objectives are fully aligned with an open markets philosophy. The

ASIC has accepted a court-enforceable undertaking from former financial adviser, Shivdeep Jaidka, from Melbourne, Victoria. ASIC conducted a review of the financial services provided by

An ASIC review has called out the risk to retirement outcomes for Australians, of holding their superannuation in persistently underperforming options, and called on super

Highlights Firms have made solid progress in many areas of the Consumer Duty and the clock is now ticking for closed products and services to

ASIC has cancelled the Australian financial services (AFS) licence of Valorton Capital Pty Ltd (Valorton). The licence was cancelled because Valorton had not provided any

Between January 2016 and November 2021, Mr Flintham, based in Blackburn, Lancashire, defrauded around 240 investors by making false representations to persuade them to invest

Following a sentencing hearing at Southwark Crown Court, Mohammed Zina, 35, was today sentenced to 22 months in prison for insider dealing and fraud. On

Following the High Court order, the Court of Appeal upheld findings of breaches against Alexandra Associates (U.K.) Limited trading as Avacade Future Solutions, and Craig

Illegal money lender, Dharam Prakash Gopee (70), has been sentenced to almost 8 years in prison for failing to pay a confiscation order. In 2018,