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Enforcement
AML / KYC
Ex-FBI Agent Charged for Money Laundering, Sanctions Violations
By Editors | 27/01/2023
The former FBI agent conspired with a former Russian diplomat to help Oleg Deripaska have his sanctions removed.
Enforcement
RBNZ Concludes Work to Enhance Enforcement Framework
By Editors | 27/01/2023
The framework consists of three documents setting set how the RBNZ selects matters for investigation, conducts investigations, and takes enforcement decisions.
Enforcement
Morgan Stanley Fines Staff Over Use of Messaging Platforms
By Editors | 27/01/2023
The penalties ranged from several thousand dollars for some staff to more than USD 1 million for others, cut from past bonuses or future pay.
Enforcement
SEBI Targets Front-running in Nationwide Raids
By Editors | 27/01/2023
Individuals would take positions on certain stocks prior to so-called ‘market experts’ going on live television to recommend those same stocks.
AML / KYC
Crypto Exchange Coinbase Fined in the Netherlands
By Editors | 26/01/2023
The DNB said Coinbase was offering services to Dutch users before it was formally registered as required by local laws.
Crypto / Digital Assets
US SEC Charges Man for Crypto Token Manipulation Scheme
By Editors | 26/01/2023
The SEC said Avraham Eisenberg orchestrated an attack on Mango Markets. He also faces criminal and civil charges brought by the DOJ and CFTC.
Enforcement
Australia: Tax Practitioners Board Bans Ex-PwC Partner for Two Years
By Editors | 26/01/2023
Former PwC tax partner Peter-John Collins leaked information about confidential tax reforms being proposed at the time.
Enforcement
Taiwan Fines Foxconn Over Unapproved China Investment
By Editors | 26/01/2023
A Foxconn subsidiary acquired a stake in China’s Tsinghua Unigroup in July last year, without seeking regulatory approval.
Enforcement
APRA Imposes Licence Conditions on Super Fund Trustee
By Editors | 25/01/2023
In APRA’s 2022 ‘MySuper Heatmap’, only one other super fund trustee charged more in administration fees than Diversa Trustees’ product.
Enforcement
Korean Regulator Promises to Punish Convertible Bond Abuse
By Editors | 25/01/2023
The FSS says unfair trade practices and market manipulation are occurring in private placements of convertible bonds.
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