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MR Perth financial adviser banned for five years

ASIC has banned financial adviser Peter Jianchao Xu from providing financial services for five years following a surveillance of Mr Xu’s advice. Mr Xu was

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November 27, 2019

MR ASIC fee relief for bushfire-affected customers

ASIC is offering assistance for customers, including small businesses, who are affected by the current bushfires in New South Wales and Queensland by providing relief

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November 27, 2019

Connaught Independent Review call for information closes but investigation remains open to affected individuals

Raj Parker, the Independent Reviewer into the FSA/FCA’s approach to the Connaught Income Fund Series 1, announces that the Review’s initial call for information has

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November 27, 2019

FCA fines Henderson £1.9m for fund failings

The Financial Conduct Authority (FCA) has fined Henderson Investment Funds Limited (HIFL) £1,867,900 for failing to treat fairly more than 4,500 retail investors in two

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November 27, 2019

FCA to ban promotion of speculative mini-bonds to retail consumers

Ahead of the upcoming Individual Savings Account (ISA) season, the FCA is introducing the restriction without consultation, using its product intervention powers. The restriction will come

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November 27, 2019

FCA secures confiscation order totalling £291,070 against convicted fraudster

A confiscation order of £291,070.36 was made against Mark Barry Starling in Southwark Crown Court. This confiscation order follows the FCA prosecution in which Mr

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November 27, 2019

Open Finance: an opportunity for financial services

Open Finance is an area of significant interest to the FCA, and today I’d like to highlight the opportunities it provides businesses, consumers and the

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November 18, 2019
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