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Mercer Super Trust - Insufficient Systems - ASIC- Aug-25

National Australia Bank Fine - $15.5m - Consumer Protection - ASIC - Aug-25

Lexicon Fundamentals: Building a Communications Surveillance Lexicon

Bruce Conway Fine - $160k - Insider Trading - SEC - Aug-25

MediaAlpha Fine - $45m - Unfair and Deceptive Practices - FTC - Aug-25

Assurance IQ Fine - $100m - Fraud - FTC - Aug-25

MUFG Fine - $9.8m - Substituted Compliance - SEC - Aug-25

CNMV Record Keeping Requirements

Sigma Broking Fine - £1.1m - Transaction Reporting Failures - FCA - Jul-25

UK Supreme Court Overturns Tom Hayes LIBOR and Carlo Palombo EURIBOR Conviction

Is WORM Required for Record Keeping? The UK / FCA Regulatory View

Jeremy Clark Fine - $80k - Conflict of Interest - CIRO - Jul-25

BaFin Record Keeping Requirements

First National Bank - Liquidity Issues - OCC - Jul-25

Interactive Brokers Fine - $11.8m - AML - OFAC - Jul-25

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