The Affin Hwang Investment Bank dealer's representative executed personal and unauthorised trades in clients’ accounts.
Investors who bought Evergrande wealth management products are asked to report their cases. Evergrande's life insurance unit has also been taken over.
The HKMA warned about crypto firms labelling themselves as banks. The SFC warned about a crypto firm called JPEX which falsely claims to be licensed.
MAS reprimanded the bankrupt crypto hedge fund for regulatory violations last June. The regulator has since uncovered additional violations.
RHB failed to conduct proper due diligence on an ACE Market listing applicant and to ensure submissions to Bursa Malaysia were complete and accurate.
Animated web series creator will pay $1mn to settle SEC claims that it conducted an unregistered offering of crypto asset securities. Two commissioners dissented.
OneCoin was a fraudulent cryptocurrency that was sold through a pyramid scheme to millions of people from 2014-2016, resulting in $4bn in worldwide losses.
SEBI initially tried to cancel Brickwork's credit rating agency licence but the order was quashed on appeal and SEBI was directed to issue a fresh order.
Virtu describes the lawsuit as retaliation for the company's public criticism of the SEC's market structure rule proposals.
Two Fubon employees and one Prudential employee mirrored the trades of the funds they were managing, using third-party accounts.
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