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ENFORCEMENT
Enforcement
Nomura Asked to Probe Attempted Murder Case Involving Ex-Employee
By Editors | 12/11/2024
The FSA has asked Nomura to review the incident and analyse its root cause and background, and come up with solutions.
Enforcement
Australia: Parliamentary Inquiry Into Big Four Audit Firms Concludes
By Editors | 12/11/2024
The inquiry identified recommendations to enhance governance, transparency, and accountability within the big four firms.
AML / KYC
HKMA Fines Fubon Bank for Transaction Monitoring Lapses
By Sanday Chongo Kabange | 11/11/2024
HKMA said Fubon had deficiencies in the controls for transmission of transaction data from the core banking system to its transaction monitoring system.
Sanctions
INTERPOL Publishes Update on How it Handles Sanctions Cases
By Editors | 10/11/2024
In its updated Repository of Practice document, INTERPOL explains how it handles requests for international police cooperation in cases involving sanctions violations.
Enforcement
US SEC Fines Invesco $17.5m over Misleading ESG Claims
By ESG Investor | 09/11/2024
Invesco Advisers was charged for making misleading statements about the percentage of company-wide AUM that integrated ESG factors in investment decisions.
Sanctions
US DOJ Charges Freight Forwarder for Evasion of Russia Export Controls
By Editors | 09/11/2024
Eleview International and two senior executives transshipped dual-use and other “high priority” items to Russia via Turkey, Finland, and Kazakhstan.
Enforcement
Japan FTC Fines Four Non-Life Insurers for Collusion
By Thisanka Siripala | 08/11/2024
The four insurers engaged in price-fixing activities in violation of the Antimonopoly Act, resulting in total penalties of ¥1.95bn, or $13mn.
Enforcement
PBOC Fines Two Leading Securities Firms for AML Violations
By Editors | 07/11/2024
The two firms were penalised for failures to properly identify customers and submit suspicious transaction reports, and for conducting transactions with unidentified customers.
Fintech / Regtech
Interpol-led Operation Takes Down Thousands of Servers Liked to Cybercrime
By Nithya Subramanian | 07/11/2024
Hong Kong Police took more than 1,037 servers offline, while Macau Police took down 291 servers as part of Operation Synergia II.
Enforcement
Australian Police Raid PwC Offices Amid Tax Leaks Scandal
By Mark Johnston | 07/11/2024
Australian federal police are examining whether former PwC Australia staff committed a crime by disclosing official secrets.
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