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ASIC secures record $581m in civil penalties orders in 2025-26

Hameed Shuja 2 min read

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US Attorney launches fraud task force for the Southern District of Indiana

Kevin Kinsella 2 min read

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UK's FRC publishes reforms to its Audit Enforcement Procedure

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The emerging quantum risk compliance officers need to start discussing

Ryan Sheridan 2 min read

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How the surveillance function of tomorrow is shaping up

Alex Viall 3 min read

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Catherine Ollinger 34 min listen

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Evolving the three lines of defense

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ASIC secures record $581m in civil penalties orders in 2025-26

Hameed Shuja 2 min read

Enforcement

US Attorney launches fraud task force for the Southern District of Indiana

Kevin Kinsella 2 min read

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The emerging quantum risk compliance officers need to start discussing

Ryan Sheridan 2 min read
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NASD Notice to Members 04-89

FINRA disciplinary action update 2024/48

Enforcement

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FINRA disciplinary action update 2024/48

December 17, 2024

Disciplinary decisions issued December 7 – 13, 2024.

Thomas Hyrkiel 2 min read

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