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Enforcement
Enforcement
Former China Citic Bank President Gets Suspended Death Sentence
By Editors | 13/11/2023
A former China Merchants Bank president also pleaded guilty to bribery charges last week, and a new probe was launched into a former ICBC vice president.
Enforcement
CSRC Probes Singapore Unit of Chinese PE Firm Hillhouse Capital
By Editors | 13/11/2023
The CSRC is investigating whether HHLR Management violated share transfer rules by disposing of shares in LONGi Green Energy Technology.
Enforcement
ASIC Fines HESTA Super Fund for “Misleading” Advertising
By Editors | 13/11/2023
HESTA performance figures used in Facebook and Instagram ads and in a webinar did not specify the period the figures related to.
Enforcement
EU Parliament Calls for Stronger Russia Sanctions Enforcement
By Editors | 13/11/2023
Resolution urges EU to strengthen enforcement of existing sanctions while adopting new sanctions on Russian petroleum and diamonds, including refined products from India and other markets.
AML / KYC
US Fed Probing Morgan Stanley AML Controls – Report
By Editors | 12/11/2023
The Fed is reported to be assessing whether Morgan Stanley has sufficient controls in place to prevent wealthy foreign customers from laundering money.
Crypto / Digital Assets
Taiwan Authorities Arrest Two Individuals Linked to JPEX
By Editors | 10/11/2023
Investors in Taiwan have initiated legal action against the allegedly fraudulent crypto exchange, which first came under regulatory scrutiny in Hong Kong.
Enforcement
US Prosecutors Secure Guilty Plea from OneCoin Executive
By Mark Johnston | 10/11/2023
Irina Dilkinska was in charge of compliance at OneCoin, a global crypto scam that lured investors with false promises of high returns.
Fintech / Regtech
RBI Finalises New Master Directions on IT Governance
By Ajoy K Das | 08/11/2023
The master directions, effective from 1 April 2024, specify the IT governance responsibilities of the board and senior management.
Enforcement
Seven FIUs Pledge to Collaborate Against Illegal Wildlife Trade
By Mark Johnston | 07/11/2023
The FIUs pledge to prevent, detect and disrupt financial activity linked to illegal wildlife trade.
Enforcement
ASIC Files First Lawsuit for Non-compliance With IDR Regime
By Sanday Chongo Kabange | 07/11/2023
ASIC says Telstra Super did not respond to more than 100 complaints within the 45 days required under the new internal dispute resolution regime.
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