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ENFORCEMENT
Enforcement
SGX Lifts Moratorium on UOBKH Following Remedial Actions
By Nithya Subramanian | 18/10/2024
UOBKH is now allowed to resume acting as an issue manager or full sponsor for new IPOs and reverse takeovers on SGX.
Crypto / Digital Assets
US SEC Charges Cumberland DRW for Illegal Crypto Operations
By Nithya Subramanian | 18/10/2024
The SEC complaint alleges that Cumberland DRW bought and sold over $2bn in crypto assets without registering as a securities dealer.
Enforcement
SFC Opens Insider Trading Case Involving 2020 PayPal Acquisition
By Sanday Chongo Kabange | 17/10/2024
The SFC is pursuing the chairman of a HK-listed company that held shares in PayPal’s acquisition target.
Enforcement
CFTC Fines Singapore’s Olam Group for Late Reporting of Cotton Sales
By Nithya Subramanian | 30/09/2024
The CFTC said Olam’s failure to promptly report the sales resulted in the publication of inaccurate and misleading information by the USDA.
Sanctions
US Sanctions Iranian Cyber Actors for Election Interference
By Editors | 30/09/2024
OFAC sanctioned seven individuals while the DOJ unsealed criminal charges accusing three others of hacking Donald Trump’s presidential campaign.
Enforcement
US SEC Fines 13 Firms, 10 Individuals for Delaying Stock Disclosures
By Nithya Subramanian | 30/09/2024
Goldman Sachs, Oaktree Capital, Bank of Nova Scotia and Alphabet Inc were among those fined for failing to provide timely information on stock holdings and transactions.
Sanctions
UK OFSI Fines Concierge Services Firm for Sanctions Breaches
By Editors | 30/09/2024
The firm was fined GBP 15,000 for providing property management services to a designated person subject to an asset freeze between 2022 and 2023.
Enforcement
Japan to Penalise Nomura Securities for JGB Futures Manipulation
By Editors | 30/09/2024
In the aftermath of a penalty recommendation from the SESC, at least four companies have removed Nomura Securities from their lists of bond managers.
Enforcement
Japan FSA Issues Business Improvement Order on DMM Bitcoin
By Mark Johnston | 30/09/2024
DMM Bitcoin has until 28 October to submit plans to the FSA specifying measures to prevent a recurrence of the bitcoin theft it suffered in May.
Enforcement
US Imposes Cyber Sanctions on Russian Crypto Network
By Manesh Samtani | 30/09/2024
Two Russians were also indicted in a coordinated action that additionally involved the seizure of web domains and infrastructure.
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