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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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Insurance executive and marketing CEO sentenced in $233m ACA fraud scheme
Texts exchanged by the defendants revealed a scheme that targeted low-income individuals experiencing homelessness, unemployment, and other challenges.
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Swedish FSA launches investigation into Swedbank
The probe concerns Swedbank’s compliance with anti-money-laundering rules.
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ASIC roundup: Director charged, license cancellations, plus more
The Australian Securities and Investments Commission’s latest actions and news, February 10-20, 2026.
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New law says firms must take down abusive images within 48 hours
The UK law will be introduced and implemented through an amendment in the Crime and Policing Bill, in an effort to protect women and girls in particular.
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Regulation-led compliance to dominate in 2026
The latest State of Financial Crime report by ComplyAdvantage shows a more technology-aware and risk-focused environment.
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Former Carillion chief executive fined $324,150 by FCA for acting recklessly
The senior executive failed “to ensure Carillion communicated effectively with investors and had appropriate internal control processes,” the FCAsaid.
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FCA Healthcare roundup: Three cases of Medicare and Medicaid fraud in IL, MN, NY
Our in-brief, biweekly roundup of notable US Department of Justice False Claims Act cases related to healthcare fraud.