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Enforcement
Tokyo Court Sentences Five Former SMBC Nikko Execs in Manipulation Case
By Manesh Samtani | 23/07/2025
A Tokyo court has convicted five former SMBC Nikko Securities executives, including a former Vice President, for market manipulation, highlighting compliance failures.
Enforcement
Philippines Weighs Total Ban on Online Gambling vs Tighter Rules
By Mark Johnston | 23/07/2025
The Philippines is weighing a potential ban on online gambling, balancing significant government revenues and job creation against mounting social concerns.
Enforcement
HKMA Fines Four FIs HKD 17.8M for AML and CDD Failures
By Sanday Chongo Kabange | 23/07/2025
The HKMA has penalised three banks and a stored value facility licensee for AML/CFT control deficiencies.
Enforcement
China Confirms Wells Fargo Exec Involved in 'Criminal Case'
By Editors | 23/07/2025
China has confirmed the US banker is part of a criminal probe. Reportedly, a US Commerce Department employee has also been subject to an exit ban since April.
Enforcement
AUSTRAC Announces Closure of Enforceable Undertaking with PayPal
By Sanday Chongo Kabange | 22/07/2025
AUSTRAC has cancelled its enforceable undertaking with PayPal after the company completed a two-year remediation plan.
Enforcement
ASIC Sues Fortnum Private Wealth Over Cybersecurity Failures
By Sanday Chongo Kabange | 22/07/2025
ASIC claims the financial advice licensee failed to manage cyber risks, exposing thousands of clients to data breaches.
Enforcement
SEBI Allows Jane Street to Resume Trading in Indian Market
By Nithya Subramanian | 22/07/2025
SEBI has directed the BSE and NSE to maintain close oversight of the firm’s trading activity to ensure there is no recurrence of the alleged manipulative patterns.
Enforcement
ASIC Investigates Predatory Practices in Debt Management Sector
By Sanday Chongo Kabange | 22/07/2025
ASIC will review around 100 licensed firms amid concerns that vulnerable consumers are being harmed by predatory industry practices.
Enforcement
Hong Kong Court Bans Former First Credit Director for Seven Years
By Sanday Chongo Kabange | 22/07/2025
The SFC secured the order for breaches involving an undisclosed de facto director and misleading fundraising announcements
Enforcement
Taiwan FSC Fines Three Crypto Firms for AML Breaches
By Nithya Subramanian | 22/07/2025
The firms were penalised for inadequate CDD, failure to file STRs, and improper handling of high-risk clients, raising red flags over AML controls in the tech sector.
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