ASIC has commenced proceedings in the Federal Court against Australia’s largest market operator, ASX Limited, for allegedly making misleading statements related to its Clearing House

The Financial advice update is a round-up of regulatory developments and issues affecting financial advice. It covers all areas of financial advice regulation and includes

Pension savers stand to benefit from a new proposed framework designed to shift the focus from costs to long-term value, and ultimately deliver better retirement

The FCA is set to base a further 100 of its workforce in Leeds as it expands its footprint in the city. The FCA will

Asset manager H2O AM LLP (H2O) will pay €250 million to investors unable to access their funds since 2020, following an investigation by the FCA.

ASIC recently placed an interim stop order on an entitlement offer (Offer) made under a prospectus lodged with ASIC on 27 June 2024 (Prospectus) by

Fewer than one in 10 liquidators have adopted a simplified liquidation process when winding up companies with debts not exceeding $1 million, even though liquidations

ASIC proposes to extend the operation of three legislative instruments for a further five years: Class Order [CO 14/923] Record-keeping obligations for Australian financial services

London Property Investments (U.K) Limited (LPI) arranged mortgages while NPI Holdings Limited (NPI) bought properties and rented them back to the sellers, both without FCA

Great Point Investments Limited is a Small Authorised UK Alternative Investment Fund Manager. The Firm provides discretionary and alternative investment fund management services through a