ASX has paid A$1.05mn for a pre-trade transparency failure caused by "carelessness rather than recklessness or intentional misconduct".
March 8, 2024Over a nearly a decade, Gunvor Group paid more than $97mn to secure business from Ecuador, generating $384mn in illicit profits.
March 5, 2024Across Australia, some 7,400 CBA and CommSec employees were underpaid A$16mn from 2015 to 2021.
February 20, 2024ASIC conducted a review of the remediation policies and procedures of some large FIs and identified gaps and inconsistencies that could lead to poor customer outcomes.
September 28, 2023ASIC said Westpac's deficient process resulted in 229 customers not receiving a response to their hardship notice within the required 21 days.
September 5, 2023ASX confirms its intention to have implemented all 45 recommendations from an external review by June 2024.
August 18, 2023ASIC said AMP charged insurance premiums and advice fees to more than 2,000 customers despite being notified that they were deceased.
May 22, 2023The CFTC fined three HSBC affiliates a total $75m for manipulative and deceptive trading, spoofing, and supervision and record-keeping failures.
May 15, 2023Employees, including those at senior levels and in compliance roles, used unapproved messaging tools to engage in business-related communications.
May 12, 2023BitFlyer USA did not perform risk assessments, implement a written cybersecurity policy, or conduct annual reviews. The firm said it has completed over 90% of its planned remediation work.
May 7, 2023