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UBS held liable for losses stemming from Tesla short-selling recommendations
Independent arbitration panel awards $92.2m in damages to investors.
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FDIC seeks a rollback of bank merger rule
The FDIC Board of Directors just approved a proposal to rescind the agency’s 2024 Statement of Policy on Bank Merger Transactions.
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OFSI publishes first financial sanctions threat assessment report
The report provides information on suspected sanctions breaches and is intended to assist with prioritization as part of a risk-based approach to compliance.
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FINRA disciplinary action update 2025/8
Disciplinary decisions issued February 22 – 28, 2025.
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FCPA trial starts despite Trump’s suspension of new FCPA cases
The FCPA enforcement action against Cognizant is going forward despite President Trump’s Executive Order.
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ASIC roundup: Allianz and AWP fined A$16.8m, director banned for eight years, frozen assets
The Australian Securities & Investments Commission’s latest actions and news, February 24 – 28, 2025.
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CFPB case against Capital One dismissed
The CFPB had accused the bank of keeping a higher-paying savings product from some legacy savings account holders.
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CFTC releases self-reporting and cooperation rubric
Enforcement Advisory offers clarity into how the commodities regulator will offer credit against penalties for meritorious conduct. But there are concerns.