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ASIC’s new enforcement priorities focus on cost-of-living pressures
Australian regulator’s enforcement priorities include focus on businesses trying to avoid consumer credit protections, and debt management.
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Warnings from the UK Competition and Markets Authority about business practices
What you need to know about warning and advisory letters.
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ASIC roundup: Consumers misled, and changes to Executive Leadership team
The Australian Securities & Investments Commission’s latest actions and news, October 7 – 18, 2024.
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FCA calls for better understanding of ‘regulation-growth connection’ after criticism
After some unsually pointed remarks from the government the FCA makes a case for its current approach.
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FCA adviser strategy to review consolidators and data-led supervision
Time for financial advisers and investment intermediaries to review their processes as additional regulatory scrutiny looms.
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Mental health triggers and finance documents – are creditors reading the room?
By adopting a compassionate and flexible approach to mental health triggers, it’s possible to create a more supportive financial system.
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FCA v BlueCrest Capital Management: Implications for regulated firms
Court of Appeal addresses the scope of the FCA’s powers under FSMA to impose redress requirements on firms and the jurisdiction of the Upper Tribunal.
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Dear CEO letter: FCA’s expectations for financial advisers and investment intermediaries
The FCA wants to work with the industry to ensure consumers receive consistently good outcomes and manage their own finances.