Category: Regulatory

Appeals Tribunal amends ASIC ban on former Spectrum director

Posted by Maria Nikolova | Oct 19, 2021 | Regulatory | 0 |

The Administrative Appeals Tribunal has amended ASIC’s decision to ban Mark Schroeder from providing financial services.

Posted by Maria Nikolova | Oct 18, 2021 | Regulatory | 0 |

After associating with UBS in June 2017, Brandon Lopez did not obtain the consent required to maintain his outside investment account.

Posted by Maria Nikolova | Oct 18, 2021 | Regulatory | 0 |

n Q3 of 2021, the FCA reviewed 514 financial promotions, with the regulator ordering 74 promotions to be amended or withdrawn.

Posted by Gerald Segal | Oct 18, 2021 | Regulatory | 0 |

ASIC observed significant improvements in key metrics and indicators of retail client detriment from CFD trading under the new rules.

Posted by Maria Nikolova | Oct 17, 2021 | Regulatory | 0 |

The SEC seeks entry of default against Pinhas Peter (Pini Peter) and Spot Tech House, Ltd for failure to respond to the Complaint.