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Enforcement
US Court Indicts Two Sudanese Nationals Linked to DDoS Attacks
By Nithya Subramanian | 23/10/2024
The two men operated and controlled Anonymous Sudan, a cybercrime group responsible for several DDoS attacks in the US and elsewhere.
Enforcement
RBI Halts Loan Activities of Four NBFCs Over Compliance Issues
By Nithya Subramanian | 23/10/2024
The RBI ordered four NBFCs to stop disbursing new loans due to excessively high rates which are non-compliant with regulatory guidelines.
Enforcement
US SEC Fines WisdomTree for ESG Compliance Failures
By Nithya Subramanian | 22/10/2024
The investment adviser agreed to pay a $4mn fine for failing to exclude fossil fuel and tobacco investments from its ESG-marketed funds.
Enforcement
SGX RegCo Reprimands Former Directors and CEO of Sunrise Shares
By Nithya Subramanian | 22/10/2024
Five individuals were reprimanded for failing to implement effective internal controls and for reporting inaccurate financial results.
Enforcement
US Authorities Arrest Man Over False SEC Tweet on Bitcoin ETFs
By Editors | 22/10/2024
The arrestee had used a SIM swap attack in January to obtain access to the SEC’s X account, while his co-conspirators issued the fraudulent tweet.
Enforcement
SFC Suspends Former Private Banker for Regulatory Breaches
By Editors | 22/10/2024
The former Julius Baer private banker lied about meeting a client face-to-face for account opening and about 14 transactions being unsolicited.
Enforcement
Shinhan Investment Corp Under Probe for “Unusual” Futures Losses
By Editors | 19/10/2024
Shinhan Investment Corp experienced a KRW 13 billion in futures trading losses while it was acting as a liquidity provider for ETFs.
Enforcement
DOJ Secures $950m Settlement to Settle Bribery, Fraud Charges
By Editors | 19/10/2024
RTX Corporation, the defence contractor formerly known as Raytheon, defrauded the US government through its billings and paid bribes to secure contracts in Qatar.
Enforcement
OFAC Fines Beverage Company for Violating DPRK Sanctions
By Editors | 18/10/2024
Vietnam Beverage Company Limited subsidiaries sold beer and spirits to North Korea, with the payments processed through US correspondent banks.
Enforcement
SGX Lifts Moratorium on UOBKH Following Remedial Actions
By Nithya Subramanian | 18/10/2024
UOBKH is now allowed to resume acting as an issue manager or full sponsor for new IPOs and reverse takeovers on SGX.
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