ENFORCEMENT

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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    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.

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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.

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    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.

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    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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