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Enforcement
Crypto / Digital Assets
BSP Urged to Take Action Against Unregistered Crypto Exchanges
By Mark Johnston | 26/06/2023
Infrawatch PH says exhibiting leniency toward unregistered crypto exchanges risks the Philippines remaining on the FATF gray list.
Enforcement
ASIC Rejects Senate’s Accusations of Undermining Inquiries
By Karen Ng | 26/06/2023
ASIC chair Joe Longo delivers a defence against accusations that the regulator obstructed a Senate inquiry into its capacity and ability.
Enforcement
US SEC Fines JPMorgan for Inadvertently Deleting Emails
By Editors | 25/06/2023
The emails were accidentally permanently deleted during a project to delete certain historical communications from the 1970s and 1980s.
Crypto / Digital Assets
Switzerland Freezes $26m in Crypto Linked to Terra Collapse
By Editors | 25/06/2023
The assets, held at digital asset bank Sygnum, were frozen in response to a request from US and Korean authorities.
Enforcement
Japan FSA Takes Administrative Action Against Two Banks
By Editors | 24/06/2023
The banks sold risky structured bonds to clients without checking their investment experience and explaining the risks.
Enforcement
ASIC Penalises Morrison Securities for Mishandled Client Orders
By Sanday Chongo Kabange | 24/06/2023
Inadequate controls led to orders being erroneously directed to Chi-X rather than ASX, resulting in market integrity rule breaches.
Enforcement
Swedbank to Pay $3.4m to Settle Liability for Sanctions Violations
By Mark Johnston | 23/06/2023
Swedbank Latvia sent send payments to persons in Crimea through US correspondent banks in violation of OFAC sanctions.
AML / KYC
Senate Committee to Investigate Perth Mint’s AML Compliance
By Editors | 22/06/2023
The Senate voted to set up the inquiry into Perth Mint, without support from the federal Labor government.
Crypto / Digital Assets
CFTC Files Charges in First Romance Scam Case Involving Crypto
By Sanday Chongo Kabange | 22/06/2023
The CFTC says it is the first time it is handling a romance scam case involving digital asset commodities and forex.
Enforcement
SEBI Settles With NSE Over 2021 Trading Glitch
By Editors | 22/06/2023
NSE and NSE Clearing have to pay a combined $8.9mn to end proceedings over a 2021 glitch that cause a complete trading halt for over three hours.
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