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Instinet dinged for surveillance lapses over potential manipulative trading
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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Podcast: Duncan Hennes bets you want to know more about the predictions market
Duncan Hennes, managing director in the KPMG Financial Services Risk, Regulatory, and Compliance Advisory practice, tells us about the ever-growing prediction marketplace.
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ASIC roundup: Diversa sued, A$2.2m in infringement notices issued
The Australian Securities and Investments Commission’s latest actions and news, December 8 – 12, 2025.
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Spanish regulator fines Enet Energy €1m for gas market manipulation attempt
CNMC reminds us that even an attempt to manipulate is a breach of REMIT. We compare the case with recent fines and look at ACER guidance on market manipulation.
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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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FCA promises faster enforcement and greater rewards for cooperation
Speech by Therese Chambers, joint executive director of enforcement and market oversight, delivered at the City & Financial Global FCA Investigations and Enforcement Summit.
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What international companies need to know about SEC cross-border fraud task force
The press announcement also warns that gatekeepers, particularly auditors and underwriters, will be under the SEC’s microscope.
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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.”