Enforcement

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    Enforcement

    Vietnam Property Tycoon Asked to Repay $11b to Avoid Execution

    By Nithya Subramanian | 28/11/2024

    Under Vietnamese law, if Lan can return three-quarters of the embezzled assets, the jury can consider a reduction in her sentence.

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    Enforcement

    Singapore Court Commences Nickel Trading Fraud Trial

    By Nithya Subramanian | 28/11/2024

    Ng Yu Zhi faces charges of fraudulent trading, cheating, forgery and money laundering. The trial is expected to take over 50 days.

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    AML / KYC

    Taiwan FSC Fines Two Crypto Exchanges for AML Violations

    By Mark Johnston | 28/11/2024

    FSC investigations found lapses involving CDD, transaction monitoring, record-keeping, and suspicious transaction reporting.

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    Enforcement

    US Charges Against Gautam Adani Have Had Extensive Impacts

    By Manesh Samtani | 27/11/2024

    Opposition parties demand parliamentary probe; Kenya cancels deals; Sri Lanka opens investigation; Global banks halting credit.

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    Enforcement

    MAS Bans Former UOB Representative for 14 Years

    By Nithya Subramanian | 27/11/2024

    MAS has prohibited Loh Sheng Yang from offering financial advisory and capital markets services after he defrauded 17 victims of over S$1 million.

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    Enforcement

    Japan Supreme Court Issues Rare Directive on Insider Trading

    By Thisanka Siripala | 27/11/2024

    The directive is a response to a case involving a judge who allegedly used confidential information obtained through his role to profit from stock trading.

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    Enforcement

    UK FCA Fines Barclays £40m Over 2008 Disclosure Failures

    By Mark Johnston | 26/11/2024

    The FCA said Barclays failed to disclose payments to Qatari entities that helped rescue the bank during the 2008 financial crisis.

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    Enforcement

    Malaysia: FIMM Reprimands Former Consultants for Misconduct

    By Nithya Subramanian | 26/11/2024

    The three individuals were found guilty of fabricating pay slips, forging signatures, and neglecting the best interests of investors.

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    Crypto / Digital Assets

    Korean Court Declares Haru Invest Bankrupt Amid Crypto Fraud

    By Nithya Subramanian | 26/11/2024

    The ruling paves the way for asset liquidation. A creditors’ meeting is set for February 2025 to chart the recovery process.

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    Enforcement

    US Authorities Charge Former Co-CIO of WAMCO with Fraud

    By Editors | 26/11/2024

    Ken Leech disproportionally allocate winning trades to favoured portfolios and loss-making trades to disfavoured portfolios.

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