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Licensing and professional registration activities – 2023 update

ASIC today has released its annual licensing report today. Report 772 Licensing and professional registration activities: 2023 update (REP 772) outlines ASIC’s licensing and professional

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September 21, 2023

ASIC sues crypto exchange alleging design and distribution failures

ASIC has commenced civil penalty proceedings in the Federal Court against Bit Trade Pty Ltd, provider of the Kraken crypto exchange to Australian customers. ASIC

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September 21, 2023

FCA sets out initial findings on bank account access and closures

The FCA has published the findings of its initial data exercise on bank account access and closures. The information supplied by banks, building societies and

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September 20, 2023

Interactive Brokers pays $832,500 penalty for ‘negligent’ and ‘reckless’ conduct

Market participant Interactive Brokers Australia Pty Ltd (ACN 166 929 568) (Interactive Brokers) has paid a penalty of $832,500 to comply with an infringement notice

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September 20, 2023

ASIC extends date for financial adviser registration requirement

ASIC is extending the date by which relevant providers – financial advisers who provide personal advice to retail clients on relevant financial products (including time

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September 20, 2023

ESAs warn of risks resulting from a fragile economic outlook

The three European Supervisory Authorities (EBA, EIOPA and ESMA – ESAs) today issued their Autumn 2023 Joint Committee Report on risks and vulnerabilities in the

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September 18, 2023

ASIC releases August 2023 financial adviser exam results

ASIC has released exam results from the 22nd Financial Advisers Exam cycle, held in August 2023. The exam has been continuously conducted by the Australian

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September 15, 2023

Review of later-life mortgages finds poor advice and misleading promotions

In a review of later life mortgage firms, the Financial Conduct Authority has worked with the largest firms to improve their advice processes and prompted

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September 14, 2023

ASIC consults on insolvent trading guidance

ASIC has released Consultation Paper 372 Guidance on insolvent trading safe harbour provisions: Update to RG 217 seeking feedback on our proposed updates to Regulatory

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September 14, 2023

FCA bans Keith Dickinson and Andrew Allen for British Steel Pension Scheme advice failings, with £155k to be paid in compensation

The FCA found that between June 2015 and December 2017, Mr Dickinson provided pension transfer advice, which Mr Allen signed off, that was unsuitable. Mr

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September 13, 2023
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