ENFORCEMENT

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    AML / KYC

    US Fed Terminates 2015 Action Against China Construction Bank

    By Editors | 23/06/2025

    The Federal Reserve terminated a 2015 written agreement with China Construction Bank after improvements in AML compliance.

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    Enforcement

    SEBI Bars Former Director of IIFL Securities for Front Running Stocks

    By Nithya Subramanian | 22/06/2025

    Sanjiv Bhasin and 11 others allegedly engaged in front-running by trading stocks ahead of public recommendations made on television and social media.

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    Enforcement

    ASIC Fines Equity Trustees for Misleading Investment Statements

    By Sanday Chongo Kabange | 22/06/2025

    ASIC fined Equity Trustees for allegedly making misleading statements about investments made by a green and sustainable bond fund.

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    Enforcement

    SFC Suspends Former CEO of Freeman Commodities for Supervisory Failures

    By Sanday Chongo Kabange | 20/06/2025

    The SFC said the former RO and MiC failed to ensure his firm maintained appropriate standards of conduct and adhered to proper procedures.

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    Enforcement

    SFC Imposes 3-Year Ban on Former Licensee Over Wash Trades

    By Sanday Chongo Kabange | 20/06/2025

    The former licensed representative of Cinda International Securities executed a total of 109 matched or wash trades in nine stocks, the SFC said.

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    Enforcement

    US Firm to Pay $3.88m for Breaching Sanctions with Iran and Venezuela

    By Thisanka Siripala | 19/06/2025

    The former CEO knowingly approved exports to Iran, using offshore affiliates in the Netherlands and China to mask the transactions.

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    Capital / Liquidity

    KRX Preps Unfair Trading Rapid Investigation Unit Launch

    By Mark Johnston | 19/06/2025

    The new department would rely on an expanded team of market surveillance personnel to more quickly identify and respond to unfair trades.

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    Enforcement

    ACCC Fines NAB Over CDR Data Quality Issues

    By Sanday Chongo Kabange | 19/06/2025

    The ACCC said NAB’s payment of the penalties is the highest amount paid for alleged contraventions of the CDR rules to date.

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    Crypto / Digital Assets

    Korea FSS Considers Inspections of Korbit Over Trading Suspension

    By Thisanka Siripala | 19/06/2025

    The FSS is said to be investigating the cause of a 12-hour trading and services suspension at crypto exchange Korbit.

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    Enforcement

    Pakistan Court Issues First-Ever Insider Trading Conviction

    By Nithya Subramanian | 19/06/2025

    A former banker misused material non-public information about his employer’s investment and disinvestment decisions for personal gain.

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