Elephas Investment Management was found to have violated wheat futures speculative position limits established by the CFTC.
The MOF and CSRC agree to provide the "fullest assistance" in response to SFC requests for investigative assistance regarding the provision of audit working papers.
The stronger protections for whistleblowers apply to misconduct or an improper state of affairs or circumstances, not just breaches of the law.
The agreement settles claims relating to MUFG's switch from state to federal oversight in November 2017, as New York regulators asserted continuing regulatory authority.
The former adviser is said to have prioritised his own interests over those of his clients by providing inappropriate advice that maximised fees and commissions.
The RBNZ is reviewing its regulatory requirements and intensifying its supervision of financial institutions to boost the resilience of New Zealand's financial system.
The draft regulatory guide sets out the scope of ASIC's new powers, when and how it expects to use the power, and how a product intervention order is made.
The ICAC has arrested the former joint head of IPO vetting for HKEX, and two others, for "suspected corruption and misconduct" in relation to the vetting of listing applications.
A US district court has reportedly found three Chinese state-owned banks in contempt for failing to comply with requests for evidence related to a North Korea sanction probe.
The SFC has ordered more brokers to stop dealing with and processing assets linked to suspected market manipulation of Ding Yi Feng shares.