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Enforcement
Crypto / Digital Assets
HK, Macau Police Make Four New Arrests in JPEX Case
By Manesh Samtani | 03/10/2023
Two Hong Kong residents were arrested in Macau and two more in Hong Kong. One was found with documents that were shredded and bleached.
Enforcement
UBS Settles Credit Suisse Liability in Mozambique Bribery Case
By Editors | 03/10/2023
The settlement terms have not been made public, but reports say UBS will forgive part of a loan Credit Suisse made to Mozambique in 2013.
Enforcement
Former Goldman Analyst, Three Others Charged for Insider Trading
By Mark Johnston | 02/10/2023
The former analyst tipped his friends to impending M&A deals. Together they made over $460,000 from trading on nonpublic information.
Enforcement
US Regulators Penalise Shinhan Bank for AML Violations
By Mark Johnston | 01/10/2023
The US subsidiary of South Korea’s Shinhan Bank will pay a USD 15 million penalty to settle cases from FinCEN, the FDIC, and NYDFS.
Enforcement
SFAT Upholds SFC’s Decision to Bar Ex-UBS Banker for Two Years
By Mark Johnston | 30/09/2023
The SFAT has upheld the SFC’s decision to prohibit Calvin Choi from re-entering the industry for two years.
Enforcement
US Regulators Fine 12 More Entities in WhatsApp Probe
By Editors | 29/09/2023
The latest penalties target broker-dealers, their investment advisory businesses, as well as two credit rating agencies.
Enforcement
Indian Lawmakers Demand Parliamentary Probe into Adani Group
By Mark Johnston | 29/09/2023
The Congress party says SEBI is reluctant to investigate the allegations against the Adani Group, one of the largest conglomerates in India.
Enforcement
Citigroup Fined for Violating Disclosure Obligations Under Reg BI
By Editors | 29/09/2023
Citi defaulted about 360,000 accounts to receive disclosures electronically without receiving proper consent from the customers.
Enforcement
Korea Jails Four Individuals in Coinone Bribery Case
By Editors | 28/09/2023
Two former employees of Coinone were jailed for accepting bribes. Two brokers were also jailed for facilitating the bribes.
Enforcement
Evergrande Chairman Suspected of “Illegal Crimes”
By Editors | 28/09/2023
Evergrande said its chairman Hui Ka Yan was placed under “residential surveillance” due to his suspected involvement in “illegal crimes”.
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