Enforcement

Securities / Derivatives

Taiwan FSC Details Widespread AML and Security Flaws at VASPs, Banks

By Editors | 01/09/2025

The FSC has published examination findings for H1 2025, revealing significant deficiencies in customer due diligence and cybersecurity.

AML / KYC

India's Enforcement Directorate Obtains First Interpol 'Purple Notice'

By Editors | 01/09/2025

The notice details a sophisticated TBML method using shell firms and forged documents to alert 196 member countries.

Capital / Liquidity

Korea: New FSS Chief Puts Banks on Notice Over Consumer Protection

By Editors | 01/09/2025

FSS Governor Lee Chan-jin has warned of strict penalties for misselling scandals and urged a shift away from "easy interest business".

Enforcement

S. Korea Regulators Raid MBK Partners in Homeplus Probe

By Mark Johnston | 29/08/2025

Financial authorities have widened an investigation into the private equity firm over its debt-laden 2015 takeover of the troubled discount retailer, Homeplus.

Enforcement

SFC Revokes Licences, Issues Lifetime Bans in $154M Fraud Case

By Editors | 29/08/2025

The SFC has banned senior managers for life over a coordinated scheme that misappropriated client funds through non-existent investment units.

Enforcement

HK AFRC Fines Deloitte HKD 1.9M in Landmark Mainland China Data Case

By Editors | 29/08/2025

The action against Deloitte and two partners, part of a wider crackdown, marks the first case using audit papers obtained via a cross-border pact with China.

Securities / Derivatives

HK SFC Fines Deutsche Bank $3 Million for Regulatory Breaches

By Editors | 29/08/2025

The fine covers an eight-year period and includes overcharging clients, incorrect risk ratings, and failure to disclose conflicts in research.

Securities / Derivatives

SEBI Moves to Curb Fake Apps, Finfluencers with Tech Partnerships

By Nithya Subramanian | 29/08/2025

SEBI is in talks with Google and Apple to add verification marks for registered intermediaries, while also working with Meta to block misleading financial content on social media.

Fintech / Regtech

US Lawmaker Proposes Bill to Help Combat Foreign Scam Farms

By Manesh Samtani | 29/08/2025

New bill seeks to authorise private actors to target foreign cybercriminals, raising implications for global financial regulation and enforcement.