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DOJ asserts ‘equal playing field for US businesses,’ secures CEO conviction under FCPA
DOJ targets CEO whose role in allegedly winning corrupt contracts from the Honduran government led to FCPA and money laundering charges.
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ANZ fined A$240m after admitting to engaging in unconscionable conduct
This is the biggest combined penalty on one entity issued by the ASIC, and reflects “the seriousness and number of breaches of law.”
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DOJ charges Chinese tech executive and financial adviser over $100m pump-and-dump scheme
The alleged operation involved impersonating investment advisors and creating false Whatsapp boards to lure investors in.
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
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First multi-state sweep on sale of consumer personal information
AGs in Colorado, California and Connecticut sent letters to businesses that don’t appear to be processing consumer requests to opt out of the sale of their personal information as required by law.
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ASIC roundup: Court updates on First Mutual Private Equity, and Money3
The Australian Securities & Investments Commission’s latest actions and news, September 8 – 12, 2025.
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FinCEN highlights need to modernize AML to reflect new threats
New rulemaking is being developed to apply Bank Secrecy Act standards to stablecoin issuers and digital asset platforms.
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SEC enforcement update: Lessons on compensation-driven conflicts
Recent cases highlight the SEC’s continuing focus on how financial incentives influence employee recommendations.