Enforcement

Enforcement

KRX Sanctions Two Securities Firms for Suspected Naked Short-selling

By Nithya Subramanian | 04/11/2025

KRX fines Korea Investment & Securities and warns Samsung Securities over suspected naked short-selling, marking the inaugural enforcement action since the launch of NSDS.

Securities / Derivatives

India’s Power Regulator Probes GNA Energy Over Alleged Insider Trading

By Nithya Subramanian | 03/11/2025

The investigation follows SEBI’s findings that GNA Energy officials may have traded on confidential details of a key power market reform before its public announcement.

Enforcement

Singapore Seizes S$150m Linked to Cambodian Tycoon in Fraud Probe

By Nithya Subramanian | 03/11/2025

Singapore police have seized assets tied to Chen Zhi, following a global investigation into a vast money laundering and fraud network connected to forced-labour scam operations in Cambodia.

Enforcement

LME Fines Mizuho Unit $350k for Systemic OTC Reporting Failures

By Mark Johnston | 03/11/2025

The London Metal Exchange penalised the Mizuho unit for failing to report affiliate OTC positions for over two years due to internal control deficiencies.

Enforcement

New Zealand DIA Halts Trust Firm Over 'Serious' AML Failures

By Sanday Chongo Kabange | 03/11/2025

An Auckland trust firm has agreed to cease operations after the regulator found it failed to maintain an AML programme or report suspicious activity.

Securities / Derivatives

ASIC Secures Record 14-Year Sentence for Ponzi Scheme Operator

By Editors | 03/11/2025

A Perth businessman has been jailed over a multi-million-dollar fraud in what ASIC has called one of its most serious investigations.

Sanctions

Korea Eyes Preemptive Account Freezes Amid Cambodia AML Concerns

By Manesh Samtani | 02/11/2025

The move follows criticism over the handling of illicit funds and money laundering risks involving cryptocurrencies and overseas bank branches

Enforcement

FSC Korea Reviews Bonus Clawbacks as Bank Accidents, Pay Surge

By Mark Johnston | 02/11/2025

South Korea's FSC rules to reclaim performance pay as accidents at top banks rise, contrasting with surging executive bonuses.

Fintech / Regtech

India’s Enforcement Directorate Uncovers Scams Run by Chinese Nationals

By Nithya Subramanian | 01/11/2025

A new report found that Chinese nationals masterminded large-scale instant loan and cryptocurrency scams in India, funnelling over INR 280 billion through shell companies and digital payment channels.