ENFORCEMENT

    Enforcement

    MAS Bans Former Great Eastern Adviser for Forgery and Misconduct

    By Nithya Subramanian | 11/07/2025

    Jonathan Toh has been banned for five years by MAS after forging a client’s signature and misleading them about transferring an insurance policy.

    Enforcement

    US Fines Semiconductor Supplier for Unlawful Exports to China

    By Nithya Subramanian | 10/07/2025

    The Commerce Department said the firm knowingly violated export controls by illegally shipping semiconductor components from the US to Huawei Technologies.

    Enforcement

    Philippines Moving to Quickly Rein In Online Gambling

    By Nithya Subramanian | 10/07/2025

    President Ferdinand Marcos Jr. has signaled support for tougher regulation and possible taxation of online gambling as lawmakers push for bans and stricter controls on e-wallets.

    Enforcement

    Korea to Launch AI-Powered ‘One-Strike-Out’ System for Unfair Trading

    By Manesh Samtani | 10/07/2025

    A new joint task force will use individual-based surveillance and AI to freeze accounts, impose heavy fines, and ban manipulators from the market.

    Enforcement

    ASIC Bans Former Compliance Head of Crown Wealth Group for 3Yrs

    By Thisanka Siripala | 10/07/2025

    ASIC said Andrew Moore failed to recognise the seriousness of fees-for-no-service conduct and to report the conduct to the regulator.

    Enforcement

    Nehal Modi Arrested in US, Faces Extradition to India over $1.5B PNB Scam

    By Nithya Subramanian | 09/07/2025

    Nehal Modi is accused of laundering money, destroying evidence, and intimidating witnesses in connection with one of India’s biggest banking frauds.

    AML / KYC

    OFAC Announces Sanctions Over DPRK Illicit IT Worker Scheme

    By Editors | 09/07/2025

    The action targets individuals and firms involved in a revenue-generating scheme funding North Korea's weapons programmes, OFAC said.

    Securities / Derivatives

    SEBI to Rationalise Broker Penalties, Ease Compliance Burden

    By Nithya Subramanian | 09/07/2025

    SEBI is questioning whether the term penalty is fair, given that many actions branded as such do not deserve the tag.

    Enforcement

    Taiwan FSC Fines Ta-Chan Securities, Suspends Manager for Violations

    By Editors | 09/07/2025

    Ta-Chan Securities was fined for internal control failures. A discretionary investment manager was suspended for prohibited personal account trading.

    Sanctions

    US Attacks on Iran Pose Complex Challenges for Compliance Teams

    By Nathan Lynch | 08/07/2025

    The escalating hostility between the US and Iran has heightened the pressure on global financial institutions to combat terrorist financing.

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