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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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FCA work in review: June 5-11, 2025
Our at-a-glance guide to a busy week of FCA activity.
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FCA calls for a fair redress scheme in UK motor finance case
Regulator in a difficult position as it tries to strike balance between customer protection and market stability.
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ASIC roundup: Choosi sued for misleading customers, action against RAMS for systemic misconduct
The Australian Securities & Investments Commission’s latest actions and news, June 2 – 6, 2025.
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The GRIP Files: A Valerie Mirko, Armstrong Teasdale
Valerie talks about her experience in securities enforcement matters, SEC’s ‘back to basics’ approach, her work in-house and what she learned working at NASAA.
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Regulators not taking their foot off the pedal
While the government efficiency crusade is slashing federal oversight and trimming bureaucracy, regulatory enforcement looks like it remains strong — but timing is key.
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Asia-Pacific in focus: May 2025 at a glance
The first in a new regular series of roundups from the financial regulation industries across the Asia-Pacific region.
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FIN-FSA issues combined €1m penalty payment on Alexandria Group Plc
The company failed to obtain required information about clients before providing investment advice.