FCA Overdraft Changes: Payment holiday looms with some banks increasing fees
Around 26 million Brits use an overdraft each year.
Desk
Regulation
Enforcement, licensing and rule-making from the SEC, FCA, CySEC, ASIC and the rest.
210 stories since 2018 · page 11 of 11
September 2020
German Regulator Acts Against Trading Platform TradInvestor
Germany's Federal Financial Supervisory Authority today confirmed that it has taken action against Ez Education which operates the trading platform “TradInvestor”.
November 2019
SEC Charges Former Top Executives of Outcome Health with Fraud
The complaint alleges that Outcome Health manipulated third-party studies to conceal issues delivering ads making them appear more effective than they were.
Singapore’s Financial Sector Wraps Up Two-day Exercise to Strengthen Business and Operational Resilience against Cyber Threats
he Monetary Authority of Singapore (MAS) and the Association of Banks in Singapore (ABS) jointly conducted an exercise to mitigate cyber-attacks.
Eco Energy devalues intellectual property assets
ASIC notes the decision by Eco Energy Group Limited (Eco Energy) to devalue its intellectual property assets by $49.6 million.
July 2019
FINRA Orders Summit Brokerage Services, Inc. to Pay More Than $550,000 in Restitution to Customers Whose Accounts Were Excessively Traded
FINRA Orders Summit Brokerage Services, Inc.
ASIC cancels AFS licence of Australasia Wealth Services and Management
ASIC has cancelled AFS licence of Sydney-based financial services provider Australasia Wealth Services and Management Pty Ltd (AWSM) as of 4 June 2019.
June 2019
ASIC Media Release : NSW company director convicted after engaging in phoenix activity
Ms Chanthabouly of Carnes Hill, NSW has been convicted and sentenced by ASIC after pleading guilty to charges related to illegal phoenix activity.
March 2018