Yao Gang was sentenced for taking 70 million yuan in bribes from 2006 to 2015 and for pocketing 2.1 million yuan in insider trading gains.
Institutions take over 4 years to identify breaches, over 2 months to start an investigation into identified breaches, and 2.5 months to lodge breach reports with ASIC.
A trader placed multiple large orders on CME and CBOT futures contracts from Mizuho's Singapore office with no intention of executing them.
The former head of an agency credited with leading Indonesia out of the 1998 financial crisis reportedly caused state losses of over $300mn.
Monograph outlines how MAS manages enforcement work in three areas: detection, investigations and in taking enforcement action.
The CSRC will ban or impose penalties on firms engaging that help companies with low creditworthiness issue debt in exchange for under-the-table payments.
Latest disciplinary action follows a FSA fine earlier this year, after a dealer manipulated the JGB futures market using the firm's proprietary trading account.
Huatai Financial's unintentional short sale of Great Wall Motor bonus shares in 2015 was as a result of inadequate systems and internal controls.
ANZ failed to disclose in its 2015 capital raising that underwriters Citi and Deutsche took up one-third of its share placement.
The branches sold unregistered investment products to other banks to channel funds into companies beyond what regulatory lending caps allowed.