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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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FCA opens consultation on new rules for sustainability disclosures
The FCA says its approach to what listed companies will be expected to report in the future is pragmatic and proportionate.
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Guidance Note 1 – FINRA Rule 6730
Late reporting to TRACE.
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Reporting obligations in corporate crime investigations
Strategies for managing crossborder reporting obligations.
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Dubai regulator tells firms to improve policies on managing conflicts of interest
Review reveals shortcomings including lack of clarity in existing policies, failure to carry self-assessment, and narrow scope on what counts as conflict of interest.
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FCA fines former Carillion directors in misleading statements case
Richard Adam and Zafar Khan have been accused of acting recklessly despite being concerned about the financial troubles at the company. Carillion’s former CEO is also facing a hearing.
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ASIC roundup: Court upholds A$250m penalty on ASX, Netwealth to pay over A$100m in compensation
The Australian Securities and Investments Commission’s latest actions and news, December 15 – 19, 2025.