CommSec and AUSIEX demonstrated "widespread, systemic compliance failures" over a nine-year period, said ASIC deputy chair Sarah Court.
October 28, 2022The SEC says KUB Coin's so-called "adminTransfer" function could be used by attackers to transfer digital assets from any wallet.
October 15, 2022The prosecution is required because the defendants, including two entities and three individuals, did not agree to the penalties prescribed by the SEC.
September 30, 2022Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
June 30, 2022The man, Gabriel Govinda, will be the first to be convicted in Australia over a social media pump-and-dump scheme.
June 9, 2022Wash trading profits are likely derived from sales to "unsuspecting buyers", who believe the NFTs they purchase have been growing in value.
February 11, 2022Market conduct risk assessments should be done at least annually, to serve as a systematic method for assessing susceptibility to misconduct and documenting mitigating actions or controls.
January 5, 2022The court's decision represents the first conviction won by the SEC after two decades of pursuing stockbrokers and investors linked to the case.
May 30, 2021Lawmakers are pushing for tougher crypto legislation to protect crypto investors against unfair practices and price manipulation.
May 12, 2021The settlement requires Coinbase to pay $6.5mn, and desist from any further violations of the Commodity Exchange Act or CFTC regulations.
March 24, 2021