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AstraZeneca faces US class action lawsuit amidst China regulatory probes
The lawsuit claims that UK’s largest listed company misled shareholders in connection with investigations by the Chinese government.
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Equinor and Danske Commodities fined €12m for gas market manipulation
The firms were sanctioned for breach of European regulation on wholesale energy market integrity and transparency – REMIT.
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False Claims Act claims resolved by St Vincents Catholic Medical Centers of NY
The DOJ noted in its press release that this resolution illustrates the government’s emphasis on combating healthcare fraud, particularly through the use of the FCA.
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FINRA disciplinary action update 2025/6
Disciplinary decisions issued February 8 –14, 2025.
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New report warns over rose-tinted view of ethics and culture from senior leaders
Significant disconnect in perception between leadership and frontline staff revealed in latest LRN survey.
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Wealth management firm fined by FINTRAC for AML failures
Lack of written policies and oversight was at the center of the enforcement action against independent firm “considered a securities dealer” by regulator.
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SEC settles charges involving fiduciary duty lapses against firm, IA rep
Both had allegedly failed to adequately consider if it was in their clients’ best interest to convert brokerage accounts to advisory ones.
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Joint federal-state effort to alert people about relationship investment scams
The nationwide collaboration seeks to help potential victims recognize relationship investment scams and what to do when witnessing these.