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ENFORCEMENT
Enforcement
Vietnam Launches Probe into Bank Lending Rates
By Editors | 27/02/2025
Commercial banks seen as responsible for negatively impacting lending by raising their interest rates may face penalties.
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Enforcement
MAS Imposes Fines on Five Individuals for False Trading
By Nithya Subramanian | 27/02/2025
Joint investigations by MAS and the police found that the group was artificially inflating the share price of Epicentre Holdings in 2019.
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Enforcement
KoFIU Partially Suspends Upbit’s Business Over AML Violations
By Mark Johnston | 27/02/2025
Upbit is prohibited from transferring virtual assets for new customers for three months. Disciplinary action also taken against 9 employees.
Enforcement
CFTC Issues New Advisory to Incentivise Self-Reporting of Violations
By Thisanka Siripala | 27/02/2025
The advisory introduces a new matrix which the CFTC will use to reward self-reporting of violations through reduced penalties.
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Enforcement
Korea FSS Sanctions Four Credit Evaluation Firms
By Thisanka Siripala | 26/02/2025
Inadequate document management, conflicts of interest, and failures in internal review processes were discovered at the four companies.
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Enforcement
OAIC Accepts Oxfam Australia Enforceable Undertaking
By Sanday Chongo Kabange | 26/02/2025
The enforceable undertaking requires Oxfam Australia to implement a range of measures designed to enhance personal data protection.
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Enforcement
SEBI Fines Indian Clearing Corporation for Cybersecurity Lapses
By Nithya Subramanian | 26/02/2025
SEBI said the BSE subsidiary didn’t maintain an up-to-date inventory of IT assets or comply with requirements to identify critical assets.
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Enforcement
Korea FSS Cracks Down on IBK as Loan Fraud Scandal Escalates
By Thisanka Siripala | 26/02/2025
IBK employees were found to have intentionally deleted electronic records related to unfair loans
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Enforcement
SEBI Fines Axis Securities for Multiple Regulatory Violations
By Mark Johnston | 25/02/2025
Axis Securities was fined INR 1 million for violating stock broker rules, mishandling client funds, and reporting requirements.
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AML / KYC
Australia Court Orders Two Former Star Execs to Pay Fines
By Sanday Chongo Kabange | 25/02/2025
The Federal Court imposed monetary penalties against the two former executives and temporary bans on managing corporations.
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