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FCA work in review: November 5-12, 2025
Our regular roundup of the latest news and developments from the FCA.
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FINRA disciplinary action update 2025/41
Disciplinary decisions issued November 1 – 7, 2025.
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Avida Finans sanctioned and given reprimand for insufficient credit checks
The loan firm granted customers loans on more than 30 occasions which should not have been approved.
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Swiss finance shrinks as regulators tighten grip on prized sector
Stricter post-Credit Suisse oversight sets nation on different path to US in particular.
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ASIC roundup: Concern after SMSF advice review, HESTA pays infringement notices
The Australian Securities and Investments Commission’s latest actions and news, November 3 – 7, 2025.
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Danko Koncar ordered to pay €120m in supplementary amounts of conditional fine
Danko Koncar failed to comply with the obligations to publish a public bid for shares in Afarak Group Plc.
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Canada’s SAR pilot program and a possible rule change from the SEC
Voluntarily adoption of semi-annual financial reporting (SAR) as part of a multi-year pilot is inline with SEC Chair Atkins supporting a shift from quarterly reporting.
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ASIC roundup: 14 years imprisonment for fraudster, and freezing orders
The Australian Securities and Investments Commission’s latest actions and news, October 27 – 31, 2025.