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Violation Tracker Individual Record

Company: Australia and New Zealand Banking Group Ltd.
Current Parent Company: Australia and New Zealand Banking Group
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $500,000
Year: 2024
Date: April 2, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Secondary Offense: financial institution supervision failures
Violation Description: The Commodity Futures Trading Commission issued an order simultaneously filing and settling charges against Australia and New Zealand Banking Group Ltd., a financial services firm provisionally registered as a swap dealer for violating its supervision obligations for failing to ensure its spoofing surveillance tool was operating effectively. ANZ admitted the facts in the order.
Level of Government: federal
Action Type: agency action
Agency: Commodity Futures Trading Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: Australia
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.