Enforcement

Securities / Derivatives

SEBI Streamlines Penalty Framework for Stock Brokers

By Nithya Subramanian | 13/10/2025

SEBI replaces ‘penalties’ with ‘financial disincentives’ for minor lapses, introduces caps on fines, and ensures uniform enforcement across exchanges.

Enforcement

Hong Kong MPFA Imposes Record 13-Year Ban on MPF Intermediary

By Sanday Chongo Kabange | 13/10/2025

The sanction, the most severe of its kind, follows findings by the MPFA that the former AIA-attached agent forged client signatures and misused personal data.

AML / KYC

HK Police Bust Syndicate Using AI to Trick Banks' Remote KYC Checks

By Sanday Chongo Kabange | 13/10/2025

The HKPF says the syndicate used AI-altered identity documents to successfully open accounts remotely, prompting calls for banks to integrate with government digital ID systems.

Securities / Derivatives

China Probes Foreign Quant Firms Over Trading Hardware Imports

By Editors | 13/10/2025

The investigation reportedly targets Tower Research, Jump Trading and Optiver over compliance with import rules for specialised servers and chips.

Enforcement

CSRC Orders S&P Unit to ‘Rectify’ Operations Following Regulatory Breaches

By Mark Johnston | 13/10/2025

The CSRC's Beijing Bureau has ordered S&P's local subsidiary to overhaul its business practices, citing failures in consistency and disclosure.

Enforcement

China Proposes Tougher Rules on Director Liability and Related-Party Deals

By Mark Johnston | 10/10/2025

A draft judicial interpretation from China’s Supreme People's Court signals a crackdown on corporate misconduct, with significant implications for shareholder liability and governance standards.

Enforcement

Mounties Lawsuit Shines Spotlight on Financial Crime Advisers

By Nathan Lynch | 10/10/2025

AUSTRAC’s civil claim against Mounties for alleged AML/CTF breaches has sent a quiet shot across the bows of external consultants, writes Nathan Lynch.

Securities / Derivatives

Philippine SEC Chief Blames Corruption for PHP 1.7 Trillion Market Wipeout

By Editors | 09/10/2025

SEC Chair says a 'crisis of confidence' is hitting the market, as the AMLC freezes billions in assets linked to the ongoing probe.

Enforcement

HKEX Bans 3 Ex-Orient Securities Directors Over Loan Governance Failures

By Sanday Chongo Kabange | 09/10/2025

HKEX has sanctioned Orient Securities and six former directors for oversight failures that led to over HKD 180 million in loan impairments.