Enforcement
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Sanctions compliance, third parties, and red flags
A couple of recent sanctions actions by OFAC are reminders of the need to monitor red flags and appreciate business partner risk.
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ASIC secures record $211m fines against CFD issuer and representatives
The regulator said the penalties were the highest ever secured in connection with an ASIC matter, and that the outcome would send a strong message of deterrence.
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FCA takes action against former fund manager for unauthorized activity
The announcement is the latest twist in a high-profile legal battle between the regulator and the fund manager, which started with the collapse of his previous company back in 2019.
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Insurance coverage considerations for False Claims Act investigations and settlements
As enforcement priorities evolve and new areas of risk emerge, insurance coverage remains a vital component of managing the financial exposure associated with FCA investigations and litigation.
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Biomed investment analyst charged with insider trading
In parallel enforcement actions, the DOJ and SEC have charged an analyst with two counts each of securities fraud for trading on nonpublic information.
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Epic Systems drops claims against another defendant in patient data case
The data-networking giant released the firm from its sprawling lawsuit alleging improper access to patient medical records.
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ASIC roundup: Fines for big fashion brands, director banned, plus more
The Australian Securities and Investments Commission’s latest actions and news, May 29-June 8, 2026.
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Healthcare data company, eight insurers named in price-fixing suit
Arizona’s AG described the arrangement as “old‑fashioned price‑fixing using new technology.”