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Enforcement
US DOJ Probes for Criminal Abuses by Known Short Sellers
By Editors | 07/02/2022
The DOJ is reportedly seeking records from almost 30 investment and research firms to map out their alliances and determine whether they manipulated markets or broke securities laws.
Enforcement
Taiwan Allows Deutsche Bank to Resume FX Derivatives Trading
By Editors | 07/02/2022
Last February, Deutsche Bank’s Taipei branch was banned from trading TWD forwards and suspended for two years from trading FX derivatives.
Enforcement
MAS Imposes Capital Surcharge on DBS for November Outage
By Editors | 07/02/2022
DBS has to hold SGD 930 million in additional regulatory capital until MAS is satisfied that it has addressed all shortcomings identified by an independent reviewer.
AML / KYC
Philippines: DOJ, BAP to Collaborate on Combatting Cybercrime
By Ranamita Chakraborty | 07/02/2022
The DOJ and BAP will collaborate on stronger measures to combat online fraud, including to enhance enforcement and prosecution of cybercriminals.
Securities / Derivatives
China Eases Process for Investors to Seek Redress for Securities Fraud
By Editors | 06/02/2022
Administrative penalties or criminal judgments will no longer be preconditions for courts to accept civil compensation cases involving securities fraud.
AML / KYC
New Sanctions Imposed Against Myanmar Officials
By Editors | 04/02/2022
US and Singapore officials have reportedly met to discuss ways to limit Myanmar’s military from accessing financial assets overseas.
Enforcement
Philippines Passes New Financial Consumer Protection Act
By Editors | 02/02/2022
The law empowers financial regulators to enforce standards of business conduct by financial entities and adjudicate on consumer complaints.
AML / KYC
Preparing for New Russia-Related Sanctions, Export Controls
By Nick Turner | 01/02/2022
Nick Turner and Steptoe partners summarize noteworthy US proposals for imposing Russia-related sanctions over the situation in Ukraine.
Enforcement
Korea FSS Proposes to Partially Suspend Hana Bank Operations
By Editors | 01/02/2022
The FSS is also proposing to force Hana Bank executives and employees involved in DLF mis-selling to pay penalties.
Enforcement
SFC Fines Citigroup Asia Unit for Client Facilitation Misconduct
By Editors | 28/01/2022
Deceptive practices were deployed at the expense of clients’ best interest and to the detriment of market integrity, said SFC chief Ashley Alder.
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