On Friday 23 August 2024, Ben Jayaweera, a former financial advisor and director of Growth Plus Financial Group Pty Ltd (in Liquidation) was found guilty
Insurers and brokers have improved governance and oversight of how products are designed, managed, reviewed, and distributed, but many still cannot show how they are
As it marks the first-year anniversary of investment scam disruption, ASIC announced today the takedown of more than 7,300 phishing and investment scam websites that
The FCA has fined PricewaterhouseCoopers LLP (PwC) for failing to report to the regulator their belief that London Capital & Finance plc (LCF) might be
We recently reviewed several crypto firms’ compliance with certain financial promotion rules designed to help people better understand the risks of investing in crypto. The
ASIC has disqualified Richard Andrew Sparreboom of Chirnside Park, Victoria, from managing corporations for the maximum period of five years due to serious misconduct. Between
The FCA has censured the auditor Macintyre Hudson LLP (MHA) for failing to prepare client assets reports to the required standard. MHA failed to notify
On 2 July 2024, Central Markets Investment Management Limited (CMIM) entered creditors’ voluntary liquidation. Dominik Thiel-Czerwinke and Louise Donna Baxter of Begbies Traynor (Central) LLP
The FCA has banned Martin Sarl from working in the financial services industry and fined him £5,021 for acting without honesty and integrity. Between 7
The FCA has fined Cypriot contract for differences (CFD) firm Forex TB Limited (FXTB) £276,100 for failing to treat its customers fairly, and for providing