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Enforcement
US Fines Semiconductor Supplier for Unlawful Exports to China
By Nithya Subramanian | 10/07/2025
The Commerce Department said the firm knowingly violated export controls by illegally shipping semiconductor components from the US to Huawei Technologies.
Enforcement
Philippines Moving to Quickly Rein In Online Gambling
By Nithya Subramanian | 10/07/2025
President Ferdinand Marcos Jr. has signaled support for tougher regulation and possible taxation of online gambling as lawmakers push for bans and stricter controls on e-wallets.
Enforcement
Korea to Launch AI-Powered ‘One-Strike-Out’ System for Unfair Trading
By Manesh Samtani | 10/07/2025
A new joint task force will use individual-based surveillance and AI to freeze accounts, impose heavy fines, and ban manipulators from the market.
Enforcement
ASIC Bans Former Compliance Head of Crown Wealth Group for 3Yrs
By Thisanka Siripala | 10/07/2025
ASIC said Andrew Moore failed to recognise the seriousness of fees-for-no-service conduct and to report the conduct to the regulator.
Enforcement
Nehal Modi Arrested in US, Faces Extradition to India over $1.5B PNB Scam
By Nithya Subramanian | 09/07/2025
Nehal Modi is accused of laundering money, destroying evidence, and intimidating witnesses in connection with one of India’s biggest banking frauds.
AML / KYC
OFAC Announces Sanctions Over DPRK Illicit IT Worker Scheme
By Editors | 09/07/2025
The action targets individuals and firms involved in a revenue-generating scheme funding North Korea's weapons programmes, OFAC said.
Securities / Derivatives
SEBI to Rationalise Broker Penalties, Ease Compliance Burden
By Nithya Subramanian | 09/07/2025
SEBI is questioning whether the term penalty is fair, given that many actions branded as such do not deserve the tag.
Enforcement
Taiwan FSC Fines Ta-Chan Securities, Suspends Manager for Violations
By Editors | 09/07/2025
Ta-Chan Securities was fined for internal control failures. A discretionary investment manager was suspended for prohibited personal account trading.
Sanctions
US Attacks on Iran Pose Complex Challenges for Compliance Teams
By Nathan Lynch | 08/07/2025
The escalating hostility between the US and Iran has heightened the pressure on global financial institutions to combat terrorist financing.
Enforcement
Hong Kong PCPD Censures Insurer, Airline in Data Breach Crackdown
By Sanday Chongo Kabange | 08/07/2025
The PCPD has detailed multiple data security failures, urging firms to embed data protection into their corporate culture.
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