The 10-month ban on Su Xiqiang, former head of Guosen's retail brokerage, was a result of improper handling of third-party fund deposits, and a lack of AML controls.
Goldman Sachs and its Chinese partner Gao Hua Securities have agreed to an administrative settlement of 150 million yuan for internal control breaches.
China plans to amend its securities law within this year, with an aim to strengthening investor protection and enforcement against violators.
Nine Masts Capital sold shares in Yuzhou Properties in May 2015 before a share placement was complete, based on verbal confirmation of its allotment.
The additional provisions reflect expected payouts for NAB's employed advisers, and the costs to review advice provided by its self-employed adviser network.
Singapore's Ministry of Home Affairs has confirmed that a Singaporean man has been charged for allegedly financing the publication of ISIS propaganda.
Under the new enforcement approach, APRA will be more willing to use its full range of powers to deter bad practices and hold entities and individuals to account.
The A$3mn compensation programme follows an ASIC investigation which found that 114 retail investors lost money from investing in complex products based on improper advice.
A letter from a whistleblower at Deloitte's local India unit has triggered a malpractice investigation into its role as auditor for the troubled IL&FS group.
Prosecutors are reportedly looking for information about a scrapped Nasdaq listing of a Samsung BioLogics subsidiary, to shed light on possible accounting irregularities.