Japan-based Mizuho Financial Group Inc (MHFG) has announced the retirement of its managing director, its executive officer and its subsidiary Mizuho Bank Ltd's (Mizuho) chairperson, and numerous penalties for MHFG and Mizuho senior management personnel and executive officers following its receipt of the findings of an independent investigation into Mizuho's lending practices in relation to organised crime syndicates known as yakuza and referred to as "anti-social forces" or "elements".
The United States Securities and Exchange Commission (SEC) has announced settlements with three investment advisory firms regarding their breaches of securities law arising from failures to rectify compliance problems identified by the SEC.
The Australian Securities and Investments Commission (ASIC) has announced that UBS Securities Australia Ltd (UBS) has paid a A$50,000 penalty for "conduct which resulted in a market for a put option not being both fair and orderly", after its designated trading representative entered an incorrect price for a trade.
Netherlands-based bank Rabobank Group (Rabobank) has announced that it has reached settlements with Dutch central bank De Nederlandsche Bank (DNB), the Dutch public prosecutor Openbaar Ministerie (OM), the Japan Financial Services Authority (FSA), the United Kingdom Financial Conduct Authority (FCA), the United States (US) Commodity Futures Trading Commission (CFTC) and the US Department of Justice (DoJ) that include financial penalties totaling €774 million.
United States (US)-based bank JPMorgan Chase & Co (JP) is negotiating a settlement with the US Department of Justice (DoJ), the US Federal Housing Finance Agency and the office of the New York state attorney general in relation to JP's alleged mis-selling of mortgage-backed securities in the lead up to the financial crisis.
A US Federal Court jury has found Bank of America Corporation (BofA) liable on a civil fraud charge relating to defective mortgages sold by its Countrywide unit to the Federal National Mortgage Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation (Freddie Mac).
The Australian Securities and Investments Commission (ASIC) has announced that Black Earth Resources Ltd has been fined after pleading guilty to 12 charges under the Corporations Act 2001 No. 50 (Cth), including in relation to its failure to hold annual general meetings (AGMs).
The United Kingdom Financial Conduct Authority (FCA) has made available Final Notice #1 (30 September 2013) issued to Catalyst Investment Group Ltd (Catalyst) for "recklessly misleading investors" in promoting certain bonds over a seven-month period.
The United States (US) Securities and Exchange Commission (SEC) has made available an Order (30 September 2013) determining a whistleblower award claim following a successful SEC enforcement action.
Wells Fargo & Company (Wells Fargo) has announced that it has reached a US$780 million settlement with the United States (US) Federal Home Loan Mortgage Corporation (Freddie Mac) to substantially resolve "all repurchase liabilities related to loans sold to Freddie Mac prior to [1 January 2009]".
- Anti-Bribery & Anti-Corruption (125)
- Anti-Money Laundering (107)
- Business Ethics and Corporate Culture (154)
- Careful Communication and Proper Use of Computers (15)
- Code of Conduct (6)
- Competition (185)
- Confidentiality and Intellectual Property (28)
- Conflicts of Interest (17)
- Consumer Protection (307)
- Corporate Responsibility and Sustainability (198)
- Employment and Workplace Issues (335)
- Environment, Health & Safety (151)
- Financial Integrity (187)
- Government Contracting (20)
- Information Security (37)
- Insider Trading (81)
- Other (2)
- Privacy and Data Protection (192)
- Records Management (16)
- Respect in the Workplace (6)