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Latest News
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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.
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Temu fined $2m by FTC in first INFORM Consumers Act enforcement action
The online marketplace facilitator was charged with failing to provide customers with tools and information to help them avoid and report illicit items.
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Citi, UBS, BNY and three others fined in CFTC Enforcement Sprint Initiative
Six major banks agreed to pay penalties to resolve compliance violations, most of them receiving maximum cooperation credit.
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ASIC roundup: SocGen fined A$3.88m, and a ‘cavalier attitude to compliance’
The Australian Securities & Investments Commission’s latest actions and news, September 1 – 5, 2025.