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New ASIC report showcases increased investigations and civil proceedings
The Commission started more investigations, yet criticism still present as total fines and civil penalties decreased substantially.
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ASIC roundup: Consumers misled, and changes to Executive Leadership team
The Australian Securities & Investments Commission’s latest actions and news, October 7 – 18, 2024.
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ASIC roundup: Suspicious gold vaults, ‘brazen and greedy’ fraud
The Australian Securities & Investments Commission’s latest actions and news, September 4 – 13, 2024.
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Former Swedbank CEO Birgitte Bonnesen sentenced to prison
Bonnesen provided misleading information about money laundering connections in the bank’s Estonian offices to Swedish news media.
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SEC charges ex-finance director at CIRCOR International with accounting fraud
Company settled SEC charges for related accounting controls violations, avoiding penalties because of its self-reporting, cooperation and remediation efforts.
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Splitting ASIC? Australian Senate wants to see two regulators
Economics Committee says ASIC’s lack of early regulatory intervention has harmed consumers and investors, and calls for a companies regulator and separate financial conduct authority.
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Podcast: Emma Parry on conduct risk, whistleblowing and “speak-up” culture
We spoke to Emma Parry about her role as an expert witness in a high court case, her experience as head of global conduct risk and the fallout of recent whistleblowing cases.
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JP Morgan fined $350m for deficient trade surveillance program
The bank failed to surveil billions of trades on at least 30 global trading venues.