UBS Securities has been slapped with a $120,000 penalty by the regulator’s Markets Disciplinary Panel after it had reasonable grounds to believe that UBS contravened mark...

The securities regulator has banned Yossef Ashkenazi of Victoria from providing financial services for a period of eight years....

The Australian Securities and Investments Commission has declared that just because behaviour is lawful does not make it an excuse where consumer detriment is concerned....

The prudential regulator has announced the terms of reference for a review of its enforcement strategy....

The Australian prudential regulator has finalised the standard aimed at combating the threat of cyber attacks....

The regulator has disqualified Oscar Altavilla from being an approved auditor of SMSFs following breaches of independence and auditing standards....

The regulator has banned Spectrum Wealth Advisers’ Gurumukh Singh Mehra from providing financial services for three years after surveillance showed he failed to act in hi...

A review by the regulator has described delays by financial institutions in reporting, addressing and remediating significant breaches as “unacceptable”....

The securities regulator said it has taken action to stop several proposed initial coin offerings or “token-generation events” that target retail investors....

The securities regulator has updated market integrity rules to facilitate the introduction of Chi-X Australia’s new financial product known as transferable custody receip...

The Federal Court has handed down its judgment on the contempt findings brought by ASIC against multiple defendants in proceedings concerning binary option trading websit...

The Administrative Appeals Tribunal has reduced the length of a banning order made against former Hobart financial planner Troy Williams, that prohibited him from providi...

The Kiwi regulator’s thematic review on replacement business practices in the insurance industry has a number of important findings for the sector, according to the Finan...

The investment regulator has imposed conditions on the financial services licence of Aurora Funds Management Limited following the misappropriation of $1 million of inves...