On 28 August, the Securities and Futures Commission (SFC) reprimanded Deutsche Bank and imposed a $23.8 million fine after a series of investigations revealed regulatory breaches stretching back more than a decade. The problems ranged from sloppy fee processes to disclosure lapses that cut at the heart of market integrity.
Australia’s communications regulator has penalized Exetel nearly $472,505 (AUD 694,860) after uncovering serious breaches that left customers exposed to sophisticated mobile number fraud schemes.
The Commodity Futures Trading Commission (CFTC) is taking a major step toward modernizing its oversight capabilities by deploying Nasdaq’s advanced market surveillance technology. The move upgrades the agency’s decades-old legacy system with cross-market monitoring and automated fraud detection tools designed to protect U.S. derivatives markets.
TerraCom Limited will pay a $7.5 million penalty after admitting to victimizing a whistleblower, marking the Australian Securities and Investments Commission’s (ASIC) first enforcement outcome under the whistleblower provisions of the Corporations Act.
Australia’s corporate watchdog has launched civil penalty proceedings against Equity Trustees Superannuation Limited, alleging the trustee failed in its gatekeeping role when overseeing investments in the Shield Master Fund.
For eight years, one of the world’s biggest banks was publishing research on Hong Kong-listed companies with a blind spot. Key disclosures were either missing or wrong. Now, regulators have stepped in.
The Bureau of Industry and Security (BIS), housed within the US Department of Commerce, is one of Washington’s central gatekeepers of national security and foreign policy. Its mission is carried out largely through export controls, which determine who can access sensitive US-origin goods, software, and technology.