Misconduct
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ASIC roundup: Record civil penalties, license cancellations, plus more
The Australian Securities and Investments Commission’s latest actions and news, February 25-March 9, 2026.
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ASIC’s misconduct reports show spike in corporate governance issues
Between July 1 and December 31, 2025, the regulator received 9,686 reports of misconduct, raising 13,036 issues.
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Dubai regulator levies some of its heaviest fines yet
DFSA fines two firms for inadequate system controls, reporting failure and deceptive conduct.
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What we learned from the DOJ’s year in enforcement
A new direction of travel has become clearer, which makes anticipating what happens next easier.
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OCC drops $10m fine against Wells Fargo risk officer involved in sales misconduct scandal
The regulator removed the civil money penalty issued in January alongside a prohibition order for the executive.
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Whistleblowing mechanisms, trust and transparency assessed in new report
Key report discusses the impact of misconduct, reporting mechanisms, and their effectiveness.
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China’s securities regulator increases rewards for reporting violations
The cash reward for whistleblowers will depend on how serious the violation is. At the same time, self-reporting is being encouraged by imposing lighter penalties.
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FCA work in review: June 26-July 4, 2025
Our at-a-glance guide to another week of FCA activity.