Posts by Niall Coburn

The Australian Securities and Investments Commission (ASIC) has finalised its criminal investigations into the alleged “fees for no service” conduct by AMP.

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The multibillion dollar losses suffered by Credit Suisse following the collapse of Greensill Capital and Archegos Capital may well rank among the most significant risk and compliance failures of the past decade.

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2020 saw landmark enforcement actions from regulators across Asia-Pacific as financial institutions across the region paid $5.1 billion in fines for anti-money laundering failures.

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The Australian Securities and Investments Commission has launched an internal investigation into whether it needed to do more to stop the marketing of Sterling First (Aust) Ltd and associated companies (Sterling First) to vulnerable elderly investors.

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