Enforcement

Enforcement

Japanese Prosecutors Indict Sumitomo Mitsui Trust Bank Official

By Editors | 06/04/2025

The official, a 55-year-old former head of the bank’s securities agency division, has reportedly admitted to insider trading charges.

Enforcement

Korean Prosecutors Search IBK Headquarters in Unfair Loans Case

By Editors | 06/04/2025

An anti-corruption investigation team from the Seoul Central District Prosecutors’ Office conducted searches and seizures at the IBK headquarters and branches.

Enforcement

Japanese Brokerage Firm Accused of Misleading Elderly Clients

By Thisanka Siripala | 04/04/2025

Tachibana Securities allegedly misled around 50 elderly clients and encouraged excessive trading for commissions, the SESC said.

AML / KYC

AUSTRAC v Entain: Key Lessons for Anti-Money Laundering Teams

By Nathan Lynch | 04/04/2025

AUSTRAC’s case against global sports betting behemoth Entain provides a raft of warnings for AML compliance teams, writes Nathan Lynch.

Enforcement

APRA Again Increases Capital Add-on Imposed on ANZ

By Sanday Chongo Kabange | 04/04/2025

ANZ has committed to addressing root causes that have contributed to risk governance shortcomings across the bank.

Crypto / Digital Assets

Thai SEC Files Criminal Complaints Against Crypto Firms OKX and XT.COM

By Nithya Subramanian | 31/03/2025

The SEC alleges that OKX and XT.COM promoted their platforms to Thai investors without proper authorisation, in violation of the Digital Asset Act.

Enforcement

RBA, ASIC Take “Unprecedented” Action over ASX CHESS Outage

By Sanday Chongo Kabange | 31/03/2025

ASX is ordered to engage an independent expert to undertake a technical review of its core technology infrastructure.

Enforcement

China Imposes $2.3b in Penalties for Securities Fraud Case

By Editors | 31/03/2025

The fraudulent stock and bond issuance case involves multiple related entities and 43 responsible persons, some of whom received lifetime bans.

Enforcement

Former Judge in Japan Sentenced for Insider Trading

By Editors | 28/03/2025

The former judge used his authority while seconded to the FSA to learn important facts about tender offers and then buy shares before the offers were made public.