Enforcement

The former global head of sustainability at DWS alleges that the firm overstated how many assets had been screened against ESG criteria.

The arrests were made following a joint operation with the SFC against a listed company and its former senior executives suspected of corporate fraud involving HK$450mn.

ASIC's key external priorities for the next four years include the economy, innovation, consumer harm, cyber resilience, and industry readiness for regulatory reforms.

NAB charged fees for personal advice without providing customers fee disclosure statements, providing them late, or containing false misleading information.

Westpac Securities Administration and BT Funds Management were fined for failing to act in their clients' best interests in a case that dates back to 2016.

Beneficial ownership data should be structured and interoperable, collated in a central register, and accessible to all actors fighting financial crime.

The case dates back to 2019, when the brokerage was found to have pledged client securities at banks to secure loans for use as working capital.

The CSRC is investigating a broker, a law firm, an asset appraisal firm, and accounting firm over their alleged involvement in share sales.

The ex-UOB employee accessed customer data from banking systems and disclosed the information to a scammer purporting to represent the Shanghai Police.

The FMA has ordered Sharesies to amend its onboarding process and implement a process to complete identity verification at onboarding.