Compliance
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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.
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Connected cars: California settles with Honda over alleged privacy issues
In addition to the monetary penalty, the order mandates a significant number of corrective actions, including consulting a user experience designer.
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FINRA disciplinary action update 2025/12
Disciplinary decisions issued March 22 – 28, 2025.
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SEC accuses former CFO of round-trip cash transfer scheme
SEC alleges former CFO lied to auditors and falsified records to inflate Acreage’s year-end cash balance.
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Understanding recovery powers under the Proceeds of Crime Act 2002
What pension trustees and providers need to know.
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Risk as a catalyst: PwC’s Tiffany Gallagher on healthcare compliance innovation
How rapid tech advance has changed healthcare’s compliance landscape.
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FCA Dear CEO letter and AI tools discussed at roundtable
Compliance professionals tackled current challenges at the latest Hedge Funds Global Relay event in London.
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Herbert Smith Freehills hit with £465k fine for breaching Russian sanctions
This case is one of the first in a pipeline of OFSI enforcement actions related to the Russian invasion.