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ANZ fined A$240m after admitting to engaging in unconscionable conduct
This is the biggest combined penalty on one entity issued by the ASIC, and reflects “the seriousness and number of breaches of law.”
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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.
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CFTC implements NASDAQ market surveillance technology
The upgrade comes as the agency anticipates increased regulatory power over digital assets.
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Indian securities regulator temporarily bans Jane Street, impounds $563m
SEBI claimed that Jane Street engaged in market manipulation, portending the end of a lucrative era in the Indian options market.
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ASIC roundup: Wealth manager sentenced to prison, Delta Power & Energy sued
The Australian Securities & Investments Commission’s latest actions and news, June 30 – July 4, 2025.
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Finfluencers pose a challenge for regulatory oversight
IOSCO points to their growing reach, which in turn is leading to concerns about conflicts of interest, fraud and unsuitable recommendations.
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FCA work in review: April 23 – May 2, 2025
Our at-a-glance guide to a busy week of FCA activity.
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Market Abuse Summit 2025: Therese Chambers on the three ‘Ps’ of regulation
The senior regulator spoke about the importance of predictable, proportionate, and purposeful action to prevent market abuse.