ENFORCEMENT

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    Enforcement

    Australia to Launch Inquiry Into Collapse of Dixon Advisory

    By Thisanka Siripala | 26/09/2024

    The inquiry will explore the actions of individuals involved, ASIC’s response, and the implications for the CSLR.

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    Enforcement

    ECB Start Penalising Banks for Slow Progress on Climate Risk

    By Mark Johnston | 26/09/2024

    The ECB has begun issuing fines to banks that fail to meet its expectations on climate risk management.

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    Enforcement

    Deutsche Börse, Nasdaq Under Scrutiny in EU Antitrust Probe

    By Editors | 25/09/2024

    Deutsche Börse and Nasdaq said they were raided and searched by EU antitrust watchdogs who suspect antitrust rule violations.

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    AML / KYC

    World Leaders Pledge to Collectively Act Against Financial Crime

    By Thisanka Siripala | 25/09/2024

    The Pact for the Future, agreed by 143 nations, includes a commitment to ramp up efforts to combat the growing sophistication of financial crime.

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    Enforcement

    US Prosecutors Accuse Visa of Monopolising Debit Card Market

    By Editors | 25/09/2024

    The DOJ says Visa illegally maintains monopoly power by imposing a web of exclusionary agreements on merchants and banks.

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    Enforcement

    Australian Court Orders Vanguard to Pay Record Greenwashing Fine

    By Sanday Chongo Kabange | 25/09/2024

    The court ordered Vanguard to pay A$12.9mn for making false or misleading representations about its ESG exclusionary screens.

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    Enforcement

    MAS Imposes Five-Year Ban on Former Nech Capital Trader

    By Mark Johnston | 25/09/2024

    The former trader executed trades between Nech Capital’s accounts and those of his relatives, causing losses to his employer.

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    Enforcement

    SFC Imposes Six Month Ban on Former Goldman Trader

    By Mark Johnston | 25/09/2024

    The former trader tried to dishonestly conceal a trade execution error, in breach of the Code of Conduct.

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    Enforcement

    US Regulators Impose Record-keeping Penalties on 13 More Firms

    By Manesh Samtani | 25/09/2024

    The SEC fined broker-dealers and investment advisers a combined $88mn. The CFTC fined two firms a total $32mn.

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    Enforcement

    SFC Suspends Ever-Long Securities Director for Sponsor Failures

    By Mark Johnston | 25/09/2024

    The SFC said the former RO breached the Code of Conduct and failed to exercise due skill, care, and diligence in sponsor work.

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