Enforcement

    Enforcement

    Korea Triples Year-on-Year Fines for Pseudo-Investment Advisers

    By Mark Johnston | 22/04/2026

    Financial regulators have significantly increased penalties for unlicensed investment advisory firms following a sweep that uncovered widespread misconduct, particularly misleading advertising.

    Enforcement

    South Korean Court Jails 46 in Cross-Border Scam Ring Case

    By Nithya Subramanian | 22/04/2026

    The organised crime group, based in Cambodia and Thailand, defrauded around 110 victims of approximately KRW 9.4 billion.

    Enforcement

    Australian Regulator Fines Latitude Finance for Spam Breaches

    By Sanday Chongo Kabange | 22/04/2026

    The non-bank lender must appoint an independent consultant after millions of compliance failures under the Spam Act.

    Enforcement

    Korea FSS Resumes On-Site Inspections of Private Equity Firms

    By Mark Johnston | 22/04/2026

    The FSS has begun its first on-site inspection of 2026 at VIG Partners, signalling a continued regulatory crackdown on the sector.

    Enforcement

    Indonesia to Bolster Use of Non-Conviction Forfeiture Against Cybercrime

    By Manesh Samtani | 22/04/2026

    The FIU has highlighted the tool as key to tackling an "enforcement gap" amid rising online fraud and hacking.

    AML / KYC

    South Korea, US to Bolster AML Cooperation in Asia-Pacific

    By Editors | 21/04/2026

    Finance chiefs finalised a critical minerals framework and shared concerns over won volatility, while FIUs agreed to enhance information sharing to combat illicit finance.

    Enforcement

    India’s IFSCA Cancels First Broker-Dealer Licence in GIFT City

    By Nithya Subramanian | 21/04/2026

    The action against String AI IFSC follows findings of inadequate infrastructure, unpermitted business activities, and non-cooperation with the exchange.

    Securities / Derivatives

    Taiwan's Taishin Securities Faces Probe After Post-Merger System Outages

    By Mark Johnston | 20/04/2026

    The brokerage, now Taiwan's fourth-largest, suffered two system failures following its merger with MasterLink, leading to thousands of incorrect trades and a regulatory investigation.

    Enforcement

    Australian Firms and Directors to Pay AUD 7 Million for Credit Act Breaches

    By Sanday Chongo Kabange | 20/04/2026

    The Federal Court of Australia has penalised two financial firms and their directors for operating a lending model designed to bypass consumer credit laws.

    Sanctions

    UK Unveils Tech-Focused Strategy to Tackle Sanctions Evasion

    By Manesh Samtani | 20/04/2026

    The new three-year plan from OFSI focuses on using AI, data analytics, and international partnerships to increase efficiency and target risk.

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