AML / KYC

New Zealand FMA Warns of Surge in AI-Driven Investment Scams

10/04/2026

The FMA has flagged a significant increase in fraudulent platforms using AI-generated deepfakes and fake news to lure investors.

Enforcement

ASIC Bans Four More Advisers in Crackdown Over Super Fund Collapses

10/04/2026

ASIC has permanently banned four advisers - including a permanent ban and a 10-year ban - for misconduct linked to the collapsed Shield and First Guardian superannuation funds.

Crypto / Digital Assets

Coinbase Becomes First Global Crypto Firm to Secure AFS Licence in Australia

10/04/2026

The exchange has won a key Australian licence for derivatives and equities, as well as conditional approval from the US Office of the Comptroller of the Currency.

Market Infrastructure

Australia Proposes Overhaul of Superannuation, Financial Advice Rules

10/04/2026

The government has launched consultations on wide-ranging reforms targeting superannuation platforms, lead generators, and the last-resort compensation scheme.

Korea FSS to Shift Financial Security Oversight to Prevention

10/04/2026

The FSS will focus on proactive risk management but has vowed a “zero-tolerance” approach to repeat IT incidents caused by internal control failures.

Securities / Derivatives

Thailand SEC Unveils Sweeping Measures to Curb Illicit Funds

10/04/2026

The SEC is enhancing KYC, digital asset oversight, and shareholder scrutiny in a national agenda to combat mule accounts and investment scams.

Sanctions

US and Australia Warn Firms on North Korean IT Worker Threat

10/04/2026

Regulators are urging firms to bolster hiring and cyber defences against sophisticated infiltration tactics used to fund Pyongyang's weapons programs.

Fintech / Regtech

ACCC Warns Australian Banks on Mortgage Due Diligence

09/04/2026

The competition regulator is urging lenders to improve loan checks using open banking, as the industry lobbies for access to tax data to combat fraud.

ESG / Sustainability

Philippines SEC to Introduce Paperless Filing for Corporate Amendments

09/04/2026

The SEC has proposed new guidelines to allow corporations to file select amendments online, aiming to improve efficiency and sustainability.