The European Securities and Markets Authority (ESMA) issued today a statement reminding issuers about the applicable legislative framework to “pre-close calls” and encouraging them to follow good practices when engaging in such calls, with the goal of contributing to maintain fair, orderly, and effective markets. Following some recent news in the media suggesting a connection...
Author: EMA Investments
Former Queensland financial adviser Brett Gordon banned following fraud conviction
ASIC has permanently banned former Sunshine Coast financial adviser Brett Andrew Gordon from providing financial services and engaging in credit activities after he was convicted of fraud offences. Mr Gordon was a financial adviser and director of Refocus Financial Group Pty Ltd. Between 2015 and 2018, he dishonestly used funds deposited by clients for property...
ASIC to launch new Professional Registers Search
ASIC is launching a new streamlined Professional Registers Search (PRS). Releasing in late June 2024, the PRS allows users to review and search all of the professional registers databases with just one search. The new PRS provides a more intuitive experience for users, making it easier to access information and make sure the person or...
ESMA reports on the application of MiFID II marketing requirements
The European Securities and Markets Authority (ESMA), the EU’s financial markets regulator and supervisor, today published a combined report on its 2023 Common Supervisory Action (CSA) and the accompanying Mystery Shopping Exercise (MSE) on marketing disclosure rules under MiFID II. ESMA, together with the National Competent Authorities (NCAs), finds that globally, marketing communications (including advertisements)...
DanFX Trade former director Daniel Ali jailed for fraud
Daniel Farook Ali, former director of DanFX Trade Pty Ltd, has been sentenced in the Brisbane District Court to seven years and three months imprisonment for fraud, following an ASIC investigation. On 23 May 2024, Mr Ali pleaded guilty to five counts of fraud totalling $771,303 relating to his misappropriation of funds invested for trading...
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Civil rights law practice area legal advice is the application of abstract principles of law to the concrete facts of the client’s case.