Enforcement

Fintech / Regtech

SFC Sets Feb 2026 Deadline for Migration to New STR Platform

By Manesh Samtani | 27/01/2026

The regulator has mandated a transition to the new STREAMS 2 platform, detailing submission methods and a blackout period.

Enforcement

SFC Suspends Two for Misconduct Involving HKD 3.4bn in Hidden Trades

By Sanday Chongo Kabange | 27/01/2026

Regulator bans former account executives for concealing personal dealing in nominee accounts and circumventing internal controls over a nearly 10-year period.

Enforcement

US SEC Moves to Serve Summons on Adani Bypassing Indian Authorities

By Nithya Subramanian | 27/01/2026

The SEC has sought court approval to directly serve legal summons on Gautam and Sagar Adani, amid allegations linked to a cross-border corruption probe.

Enforcement

SEBI Accuses EY, PwC Executives of Insider Trading in Yes Bank Deal

By Nithya Subramanian | 27/01/2026

SEBI has issued show-cause notices to executives from EY, PwC and private equity firms Carlyle and Advent, alleging insider trading linked to Yes Bank’s USD 1.1 billion share sale in 2022.

Enforcement

Korea’s FSS Initiates Sanction Proceedings Against Stonebridge Capital

By Mark Johnston | 27/01/2026

The regulator has issued an inspection opinion letter to the private equity firm, casting doubt over its current fundraising targets.

Enforcement

Taiwan FSC Fines Shin Kong Life for Control and Data Breaches

By Editors | 27/01/2026

The insurer was penalised for significant internal control failures in its real estate operations and for violating data protection laws.

Enforcement

India’s Enforcement Directorate Arrest Two in BitConnect Fraud

By Nithya Subramanian | 27/01/2026

The two individuals were detained under the PMLA, and INR 21.7 billion in assets linked to the multi-layered BitConnect scheme were frozen.

Enforcement

Former China Construction Bank Executive VP Sentenced to Jail

By Mark Johnston | 26/01/2026

The former exec was also fined CNY 4.1 million after a court found that he accepted bribes and issued loans that caused "heavy losses" to the bank.

Enforcement

Australian Fund Manager Jailed for 6 Years in Insider Trading Case

By Sanday Chongo Kabange | 26/01/2026

The case is the first major outcome for ASIC's new specialist insider trading team, which was established in late September 2024.