ENFORCEMENT

    Securities / Derivatives

    CSRC Fines P2P ‘Hyper’ $500mn

    By Samuel Riding | 27/02/2017

    Company chairman misrepresented firm as P2P business despite no involvement in sector.

    AML / KYC

    Taiwan FSC Fines ANZ for TRF Mis-selling

    By Samuel Riding | 09/12/2016

    Investigation finds ANZ helped customers buy RMB-linked forwards for which they were unfit.

    Enforcement

    DBS Taiwan Fined for TRF Mis-selling

    By Samuel Riding | 02/12/2016

    Regulator has so far fined 16 banks $2.25mn for malpractice in selling the currency options.

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