Financial misconduct
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CFTC issues new enforcement cooperation policy
The advisory gives market participants even more opportunity for full enforcement declinations.
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ASIC roundup: ASX Inquiry’s final report, plus penalties and life bans
The Australian Securities and Investments Commission’s latest actions and news, April 1-20, 2026.
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ASIC roundup: Mecca group fined, regulatory reliefs, plus more
The Australian Securities and Investments Commission’s latest actions and news, March 23-31, 2026.
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FCA work in review: March 10-17, 2026
Our regular roundup of the latest news and developments from the FCA.
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Macquarie Securities fined $24m for inaccurate reporting of short sales
Australian court found weaknesses in the firm’s systems, and procedures and controls remained undetected for more than a decade despite internal reviews.
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Hong Kong authorities make arrests in major insider trading probe
Authorities have not named any individuals or companies yet, but a Chinese securities group has confirmed its headquarters were searched and an individual was arrested.
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Podcast: Maria Tsennykh on forensic accounting, corporate governance, and financial misconduct
Maria Tsennykh is the founder and managing partner of TSENU Consulting and an adjunct professor at Fordham and Quinnipiac.
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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.