Australia’s conduct regulator has delivered a sharp reminder that high-risk retail products attract high regulatory expectations. The Australian Securities and Investments Commission (ASIC) has secured the return of nearly $40 million to more than 38 000 retail investors and forced wide-ranging changes across the contracts for difference (CFD) sector following an ...
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Compliance Corylated reports that European regulators are warning that the EU’s heavy reliance on US-based AI and data infrastructure poses growing operational, commercial and data-security risks for financial supervision. Speaking at a recent European Securities and Markets Authority Data Day event, Christopher Buttigieg of the Malta Financial Services Authority said ...
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The UK's Financial Conduct Authority has secured a decisive enforcement victory after the Upper Tribunal upheld its decision to ban Darren Antony Reynolds from the financial services industry and fine him £2 037 892.
The Tribunal confirmed that Reynolds acted dishonestly and without integrity when advising members of the ...
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By Lee Rossini
Clients today are no longer only looking for technical expertise or competitive returns; they want connection, clarity, and confidence in who they trust with their financial future. As a result, the three interrelated trends of community, brand authenticity, and niche focus are increasingly defining successful financial advice businesses. Together, they respond directly to evolving client expectations in a market shaped by digital access, information overload, and declining trust in institutions.
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