Enforcement

Australian Court Declares Macquarie Breached Law Over Shield Fund Monitoring

23/03/2026

The court found that Macquarie Investment Management failed to adequately monitor the collapsed Shield Master Fund, but it will avoid a penalty because of compensation paid to investors.

ESG / Sustainability

Taiwan: Phase One of GHG Disclosures Roadmap Successfully Implemented

23/03/2026

The regulator has confirmed the next phase of its sustainability roadmap, bringing smaller listed companies into scope for GHG inventories.

Securities / Derivatives

SFC Caps Sponsor Workload to Tackle IPO Quality Concerns - Reports

22/03/2026

The regulator is enforcing a five-project limit per sponsor and launching inspections amid concerns over substandard due diligence and documentation.

Crypto / Digital Assets

SBI Launches Japan's First Stablecoin Lending Service for Retail

20/03/2026

The service offers high yields on USDC but comes with explicit counterparty and liquidity risks.

AML / KYC

Ex-HSBC Staff Admit to Bribery for Account Opening Scheme

20/03/2026

Three former employees pleaded guilty in an ICAC case involving bribes to open accounts, with dozens of accounts flagged for money laundering risk.

AML / KYC

New Zealand Clarifies Legal Privilege Rules for AML Reporting

20/03/2026

New guidance outlines when legal professional privilege does not apply to suspicious activity reporting, creating new record-keeping duties for law firms.

Fintech / Regtech

HKMA Official Sheds Light on Approach to 'Responsible Innovation'

20/03/2026

Carmen Chu outlined the HKMA's push to move "from principles to practices" in the adoption of financial technology.

Enforcement

Hong Kong SFC Bans Former Yuanta Officer over Dishonest Trading Scheme

20/03/2026

SFC fines and bans former RO for executing trades that disadvantaged his employer and for concealing personal trading accounts.

Market Infrastructure

Australia Flags Heightened Financial Risks, Tightens FI Oversight

20/03/2026

Regulators are stress-testing firms and have activated new lending limits, with a sharp focus on operational resilience and ASX governance.