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Enforcement
Enforcement
SFC Imposes 15-Year Ban on Former Hedge Fund Exec
By Sanday Chongo Kabange | 07/11/2024
The SFC barred the former chief investment officer of a hedge fund from re-entering the industry for 15 years for false trading.
Enforcement
US Charges Chinese Hedge Fund Manager for Stealing Trade Secrets
By Nithya Subramanian | 06/11/2024
Xiao Zhang allegedly stole code, projects and research from the US investment firm employing him with the intent of establishing his own operation in China.
Enforcement
FSS Now Also Probing KB Securities in Korea Zinc Case
By Editors | 06/11/2024
KB Securities joins Mirae Asset Securities as a firm being probed over Korea Zinc’s recent share buyback and capital increase plan.
Crypto / Digital Assets
Korea to Prosecute Unfair Trading Case Involving Virtual Assets
By Editors | 05/11/2024
This is the first case of unfair trading referred for prosecution since the Virtual Asset User Protection Act came into force in July.
Enforcement
Two of Korea’s Largest Financial Groups Facing Regulatory Scrutiny
By Editors | 05/11/2024
The FSS is scrutinising KB Financial Group for its poor management of its Indonesia business, and Woori over organisational culture issues.
Enforcement
US SEC Fines JPMorgan Units $151m for Regulatory Violations
By Editors | 05/11/2024
The amount includes $61mn of civil penalties and $90mn of reimbursements to customers, settling five separate enforcement actions brought by the SEC.
Sanctions
US Commerce Dept Fines Chipmaker Over Shipments to China
By Editors | 04/11/2024
The chipmaker shipped semiconductor wafers to a Chinese firm on the Entity List without a licence, due to a data entry error that impacted its transaction screening system.
Enforcement
Japan FSA Fines Nomura Securities for JGB Futures Manipulation
By Editors | 03/11/2024
Several executives also agreed to a two-month pay cut. It was separately reported that a former Nomura Securities employee was arrested on suspicion of robbery and attempted murder.
Enforcement
Google’s Russia Fines Have Grown to Over $20 Decillion
By Editors | 02/11/2024
A Russian court imposed a daily penalty that had been doubling weekly against Google for blocking the YouTube accounts of Russian broadcasters.
Enforcement
Global Operation Dismantles Major Malware Operations: Eurojust
By Nithya Subramanian | 02/11/2024
Authorities shut down servers and seized domains linked to RedLine and META, which stole personal data from millions of victims worldwide.
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