Tag Archives: Penalties

Australia: ASIC focus on briefing of sell-side analysts, may seek product intervention powers

In a speech to the G100 held in Aust this week, ASIC Commissioner Price provided a short update on topics of ASIC focus.  These include:

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UK: reviewing the fairness, transparency, speed and efficiency of enforcement decision-making processes at the FCA and the PRA

The Chancellor has launched a review of the fairness, transparency, speed and efficiency of the enforcement decision-making at the financial services regulators, as part of the government’s focus on strengthening accountability in the financial services industry.  A call for evidence to … Continue reading

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Filed under Banking, Consultations, FCA, HM Treasury, Insurance, Investment banking, Investment Funds, PRA, Regulatory Reform, UK, UK Government, UK Parliamentary Committees