ANZ
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ASIC roundup: Accountant making false statements, and court dismisses ANZ’s appeal
The Australian Securities & Investments Commission’s latest actions and news, September 30 – October 4, 2024.
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Australian banks to pay back A$28m to low-income customers
ASIC reviewed four big banks all found systemically charging high fees to low-income customers.
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Concerns over complete venue coverage and FCA ‘name and shame’ approach at compliance roundtable
Risk acceptance and supervisory visits also discussed at Global Relay’s quarterly roundtable in London.
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CFTC fines swap dealer $500,000 for supervision failures
The company failed to ensure that thousands of orders were not timely surveilled for spoofing.
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ASIC roundup: A$670,500 penalty over ‘set and forget’ compliance culture
The Australian Securities & Investments Commission’s latest actions and news, December – December 4 – 15, 2023.
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ASIC roundup: Landmark victory on continuous disclosure, and banned auditors
The Australian Securities & Investments Commission’s latest actions and news, October 9 – 13, 2023.
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ASIC roundup: Illegal phoenix activity, and bank fined A$15m for misleading customers
The Australian Securities & Investments Commission’s latest actions and news, September 25 – 29, 2023.