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ASIC roundup: Hollard Insurance sued, and 95 firms taken down
The Australian Securities & Investments Commission’s latest actions and news, March 31 – April 11, 2025.
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Trouble Dutch: An error of judgment on inducement rules?
The Dutch Authority for the Financial Markets has made an extraordinary decision, says Ashurst.
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DOJ moves forward with Smartmatic FCPA case, despite Trump EO
The DOJ said it will continue to prosecute executives at the voting machine company Smartmatic Corp. for FCPA and AML violations.
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Assessing the role, value and cost of compliance monitors
Compliance monitorships are costly and burdensome, and sometimes an effective way to achieve critical business objectives.
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FINRA disciplinary action update 2025/13
Disciplinary decisions issued March 29 – April 4, 2025.
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DOJ ends energy giant Glencore’s monitorship early
DOJ attorneys in court documents said they were using their “sole discretion” under a plea agreement with Glencore to “terminate the monitorship early.”
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Cantor Fitzgerald Ireland Limited fined €453k for Market Abuse Regulation breaches
Cantor failed to report suspicious transactions and lacked effective governance arrangements for detecting and reporting them.
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ASIC roundup: Director guilty of criminal charges, and director banned
The Australian Securities & Investments Commission’s latest actions and news, March 24 – 28, 2025.