Enforcement

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    Enforcement

    ASIC Fines Macquarie for ‘Serious’ Gatekeeper Failure

    By Sanday Chongo Kabange | 26/09/2024

    Macquarie was fined for failing to act promptly and appropriately to prevent manipulation in the electricity futures market.

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    Enforcement

    FCA Chair Cleared of Wrongdoing in Whistleblower Case

    By Nithya Subramanian | 26/09/2024

    An internal review found that Ashley Alder’s actions were reasonable and not intended to harm the complainants.

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    Enforcement

    US Federal Court Jails Former FTX Exec Caroline Ellison

    By Nithya Subramanian | 26/09/2024

    Caroline Ellison was the former girlfriend and a key witness in the prosecution of FTX founder Sam Bankman-Fried.

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    Enforcement

    Former Singapore Minister Convicted on Corruption Charges

    By Nithya Subramanian | 26/09/2024

    In a rare corruption case, S Iswaran has pleaded guilty for receiving kickbacks while in office. Sentencing is on 3 October.

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    Enforcement

    Australia to Launch Inquiry Into Collapse of Dixon Advisory

    By Thisanka Siripala | 26/09/2024

    The inquiry will explore the actions of individuals involved, ASIC’s response, and the implications for the CSLR.

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    Enforcement

    ECB Start Penalising Banks for Slow Progress on Climate Risk

    By Mark Johnston | 26/09/2024

    The ECB has begun issuing fines to banks that fail to meet its expectations on climate risk management.

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    Enforcement

    Deutsche Börse, Nasdaq Under Scrutiny in EU Antitrust Probe

    By Editors | 25/09/2024

    Deutsche Börse and Nasdaq said they were raided and searched by EU antitrust watchdogs who suspect antitrust rule violations.

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    AML / KYC

    World Leaders Pledge to Collectively Act Against Financial Crime

    By Thisanka Siripala | 25/09/2024

    The Pact for the Future, agreed by 143 nations, includes a commitment to ramp up efforts to combat the growing sophistication of financial crime.

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    Enforcement

    US Prosecutors Accuse Visa of Monopolising Debit Card Market

    By Editors | 25/09/2024

    The DOJ says Visa illegally maintains monopoly power by imposing a web of exclusionary agreements on merchants and banks.

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    Enforcement

    Australian Court Orders Vanguard to Pay Record Greenwashing Fine

    By Sanday Chongo Kabange | 25/09/2024

    The court ordered Vanguard to pay A$12.9mn for making false or misleading representations about its ESG exclusionary screens.

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