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ENFORCEMENT
Enforcement
US SEC Settles Charges with Associate of Short Seller Andrew Left
By Mark Johnston | 24/10/2024
The SEC said Ryan Choi misled investors in two tweets and profited from trades in two companies without properly disclosing his trading activity.
Enforcement
US CFPB Imposes Penalties on Goldman Sachs and Apple
By Nithya Subramanian | 24/10/2024
Goldman is banned from launching new credit card products until it can demonstrate compliance with federal law.
Enforcement
CSRC Punishes Firms Over Investment Banking Internal Controls
By Manesh Samtani | 24/10/2024
The CSRC suspended the bond underwriting businesses of two securities firms for 6 months, and imposed administrative measures on a further 11 firms and 43 individuals.
Enforcement
Japan: TSE Official & Judge Under Separate Insider Trading Probes
By Manesh Samtani | 24/10/2024
A TSE official leaked information to his relative multiple times. The judge engaged in insider trading while on temporary assignment at the FSA.
Crypto / Digital Assets
Nigeria Releases Binance Executive, Drops Money Laundering Charges
By Nithya Subramanian | 24/10/2024
Tigran Gambaryan had been detained since February on money laundering charges, which have now been dropped.
Enforcement
US SEC Fines Four Companies Over Misleading Cyber Disclosures
By Mark Johnston | 24/10/2024
The four companies provided misleading disclosures about cybersecurity breaches associated with the SolarWinds hack.
Enforcement
APRA to Intensify Scrutiny of Super Fund Expenditures
By Thisanka Siripala | 24/10/2024
RSE licensees will have to demonstrate how they determine that expenditures are in members’ best interests and how they are related to enhancing performance.
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.
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