SFC Issues 6-Month Ban for Fit and Proper Requirements Failure The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for... READ MORE
Hong Kong’s SFC Imposes Life Ban on Former Associate Director Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former... READ MORE
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
Bill Passed to Boost Singapore's Fight Against Money Laundering Singapore’s Parliament has passed the Anti-Money Laundering (AML) and Other Matters Bill, a crucial... READ MORE
ASIC Calls for Stronger Supervision of Business Communications The Australian Securities and Investments Commission (ASIC) has called on market intermediaries to... READ MORE
APRA Launches Prudential Handbook to Simplify Compliance The Australian Prudential Regulation Authority (APRA) has undergone several initiatives over the... READ MORE
APRA Slaps Super Fund with Additional Licence Conditions The Australian Prudential Regulation Authority (APRA) has imposed additional licence conditions on... READ MORE
ASIC Action Results in $1.25 Million Fine of “Licensee for Hire” Firm The Australian Federal Court recently issued a staggering $1.25 million penalty against a wholesale... READ MORE
