Customer protection
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FCA work in review: June 12-19, 2025
Our at-a-glance guide to another week of FCA activity.
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FCA work in review: June 5-11, 2025
Our at-a-glance guide to a busy week of FCA activity.
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FIN-FSA issues combined €1m penalty payment on Alexandria Group Plc
The company failed to obtain required information about clients before providing investment advice.
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Crypto wrap: Celsius founder jailed, American Bitcoin listing, plus more
Latest news and developments from the world of crypto.
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Multiple failures in handling death benefit claims are uncovered by ASIC report
An ASIC investigation has resulted in a damning picture of customer service in Australia’s superannuation sector.
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Paid securities lending program shortcomings lead to fine for clearing firm Apex
First FINRA enforcement action related to the rules governing the permissible use of customers’ securities results in censure and $3.2m fine.
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SEC and CFTC whistleblower awards down in 2024
The authorities awarded whistleblowers close to $300m less in 2024 compared to 2023.
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ASIC roundup: Insurers on notice for complaints handling failures, adviser banned
The Australian Securities & Investments Commission’s latest actions and news, December 2 – 6, 2024.