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ENFORCEMENT
Enforcement
US Federal Court Jails Former FTX Exec Caroline Ellison
By Nithya Subramanian | 26/09/2024
Caroline Ellison was the former girlfriend and a key witness in the prosecution of FTX founder Sam Bankman-Fried.
Enforcement
Former Singapore Minister Convicted on Corruption Charges
By Nithya Subramanian | 26/09/2024
In a rare corruption case, S Iswaran has pleaded guilty for receiving kickbacks while in office. Sentencing is on 3 October.
Enforcement
Australia to Launch Inquiry Into Collapse of Dixon Advisory
By Thisanka Siripala | 26/09/2024
The inquiry will explore the actions of individuals involved, ASIC’s response, and the implications for the CSLR.
Enforcement
ECB Start Penalising Banks for Slow Progress on Climate Risk
By Mark Johnston | 26/09/2024
The ECB has begun issuing fines to banks that fail to meet its expectations on climate risk management.
Enforcement
Deutsche Börse, Nasdaq Under Scrutiny in EU Antitrust Probe
By Editors | 25/09/2024
Deutsche Börse and Nasdaq said they were raided and searched by EU antitrust watchdogs who suspect antitrust rule violations.
AML / KYC
World Leaders Pledge to Collectively Act Against Financial Crime
By Thisanka Siripala | 25/09/2024
The Pact for the Future, agreed by 143 nations, includes a commitment to ramp up efforts to combat the growing sophistication of financial crime.
Enforcement
US Prosecutors Accuse Visa of Monopolising Debit Card Market
By Editors | 25/09/2024
The DOJ says Visa illegally maintains monopoly power by imposing a web of exclusionary agreements on merchants and banks.
Enforcement
Australian Court Orders Vanguard to Pay Record Greenwashing Fine
By Sanday Chongo Kabange | 25/09/2024
The court ordered Vanguard to pay A$12.9mn for making false or misleading representations about its ESG exclusionary screens.
Enforcement
MAS Imposes Five-Year Ban on Former Nech Capital Trader
By Mark Johnston | 25/09/2024
The former trader executed trades between Nech Capital’s accounts and those of his relatives, causing losses to his employer.
Enforcement
SFC Imposes Six Month Ban on Former Goldman Trader
By Mark Johnston | 25/09/2024
The former trader tried to dishonestly conceal a trade execution error, in breach of the Code of Conduct.
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