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investigations

FCA-logo

Investigations have commenced into Barclays and Group CEO

10/04/2017(0)
 Barclays PLC and Barclays Bank PLC (Barclays) announce that the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have commenced investigations into: ·    Jes Staley, Group Chief Executive ... Read More
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Yahoo General Counsel resigns following investigations for cybersecurity failures

08/03/2017(0)
A report prepared for the Securities and Exchange Commission identified $11 million worth of legal costs associated with a mass hack of Yahoo accounts that took place in 2014. ... Read More
JPX-logo

Japan Exchange Regulation and Tokyo Stock Exchange to apply AI to market surveillance operations

01/03/2017(1)
Japan Exchange Regulation (“JPX-R”) and Tokyo Stock Exchange, Inc. (“TSE”) have decided to take the groundbreaking move of applying artificial intelligence (AI) to market surveillance operations. JPX-R and TSE ... Read More
ASIC_regulator

ASIC permanently bans former financial adviser

31/10/2016(0)
ASIC has permanently banned former NSW financial adviser Mr Ashley Grant Howard from providing financial services after an investigation found he had: engaged in dishonest conduct; held out that ... Read More
Securities Exchange Commission

Ernst & Young, Former Partners Charged With Violating Auditor Independence Rules

20/09/2016(0)
The Securities and Exchange Commission today announced that public accounting firm Ernst & Young has agreed to pay $9.3 million to settle charges that two of the firm’s audit ... Read More
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KPMG faces disciplinary formal complaints over audit concerns

07/09/2016(0)
The Financial Reporting Council’s (FRC) Executive Counsel has delivered disciplinary formal complaints under the Accountancy Scheme and the Actuarial Scheme in connection with the conduct of KPMG LLP, Mr ... Read More
Securities Exchange Commission

SEC fined 13 Investment Advisory Firms

26/08/2016(0)
The Securities and Exchange Commission today announced penalties against 13 investment advisory firms found to have violated securities laws by spreading the false claims made by an investment management ... Read More
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SFC reprimands and fines Morgan Stanley

25/08/2016(0)
The Securities and Futures Commission (SFC) has resolved its concerns with Morgan Stanley Hong Kong Securities Limited (MSHK) over its internal control failures. Under the resolution, the SFC reprimanded ... Read More
ASIC_regulator

ASIC’s enforcement report highlights key enforcement outcomes for January-June 2016

08/08/2016(0)
ASIC has today released its enforcement report for the period 1 January 2016 to 30 June 2016. The report highlights ASIC’s long-term challenges and areas of focus going forward, ... Read More
HMRC

HMRC’s response to the ICIJ story on offshore tax evasion

05/04/2016(0)
Jennie Granger, Director General of Enforcement and Compliance, HM Revenue and Customs, said: HMRC is committed to exposing and acting on financial wrongdoing and we relentlessly pursue tax evaders to ... Read More
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