ENFORCEMENT

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    Enforcement

    JSDA Investigates Brokerages Over Unsuitable Bond Sales

    By Editors | 15/06/2025

    The probe is said to be focused on client suitability, sales practices, and over-reporting of investor demand by FIs.

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    Enforcement

    ASIC Bans ex-Financial Adviser for 10 Years Over Crypto Scam

    By Thisanka Siripala | 13/06/2025

    ASIC says Rogan misled clients into investing in a fraudulent cryptocurrency platform while posing as a licensed adviser.

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    Enforcement

    ASIC Sues Australian Unity for Failing to Screen Fund Investors

    By Thisanka Siripala | 13/06/2025

    ASIC alleges Australian Unity issued fund interests to retail investors without verifying if they were within the product’s defined target market.

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    Crypto / Digital Assets

    Australia: Four Arrested Over Multimillion-Dollar Crypto Laundering Scheme

    By Thisanka Siripala | 13/06/2025

    Security company used armoured cash transport services and other legitimate businesses to mix illicit and legitimate funds before converting them into crypto.

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    AML / KYC

    The A$300m Question: Will Courts Neuter Australia’s Feared AML Watchdog?

    By Nathan Lynch | 13/06/2025

    The AML sector is watching closely as AUSTRAC runs a landmark case involving a A$300m disagreement over enforcement penalties.

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    Enforcement

    ASIC Issues Warning Notices to 18 Social Media Finfluencers

    By Thisanka Siripala | 13/06/2025

    ASIC said the “fincluencers” are suspected of offering unlicensed financial advice and warned it would “take action to enforce the law” if harm is identified.

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    Enforcement

    Hong Kong Court Jails Four in Taiping Life Commission Scam

    By Mark Johnston | 12/06/2025

    HKD 4.6 million in commission and bonuses were paid out despite policyholders never signing application forms or paying premiums.

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    Enforcement

    SEBI Issues Recovery Notices to OPG Securities in NSE Co-Location Case

    By Nithya Subramanian | 12/06/2025

    SEBI fined OPG Securities for repeatedly accessing NSE’s secondary POP server without authorisation.

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    AML / KYC

    INTERPOL Operation Nets 20,000 Malicious IPs Targeting Financial Data

    By Editors | 12/06/2025

    Operation Secure targeted infostealer malware, disrupting cybercriminal infrastructure across Asia and leading to arrests and server seizures.

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    Enforcement

    Korea to Implement “One Strike Out” Policy for Market Manipulators

    By Editors | 12/06/2025

    Korea to permanently ban perpetrators of unfair trading, signalling a zero-tolerance approach to market abuse and enhanced investor protection.

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