ENFORCEMENT

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    Enforcement

    ASIC Fines Australian Retirement Trust for Misleading Performance Data

    By Sanday Chongo Kabange | 03/06/2025

    Australian Retirement Trust was issued an infringement notice because it published “out-of-date” performance data on its website.

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    Enforcement

    ACMA Fines Telco for Breaching ID Verification Rules

    By Sanday Chongo Kabange | 03/06/2025

    Mobile numbers were inadvertently transferred to scammers, resulting in losses from consumers’ bank accounts.

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    Enforcement

    New Zealand DIA Warns Money Remitter for AML Noncompliance

    By Sanday Chongo Kabange | 03/06/2025

    The DIA said further action may be taken if noncompliance with New Zealand’s AML/CFT laws continues.

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    Enforcement

    KRX Detects First Illegal Short-Selling Case Since NSDS Launch

    By Nithya Subramanian | 03/06/2025

    The case has dispelled some doubts about the reliability and accuracy of the new Naked Short Selling Detection System.

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    Enforcement

    SFC Secures Landmark $190m Payout for Combest Shareholders

    By Manesh Samtani | 03/06/2025

    Former executives of delisted Combest Holdings will compensate shareholders following SFC action over inflated valuations.

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    Enforcement

    China: Former Everbright Trust Chairman Pleads Guilty to Bribery

    By Editors | 03/06/2025

    Yan Guijun pleaded guilty to accepting bribes worth over CNY 200 million and illegally approving loans worth CNY 6.39 billion.

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    Enforcement

    Japan Investigates Source of Securities Account Hacks

    By Editors | 03/06/2025

    Japanese authorities launched investigations into securities account hacks that caused unauthorised transactions exceeding JPY 300 billion

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    Fintech / Regtech

    Cambodia Detains Japanese Nationals for Suspected Fraud Operations

    By Nithya Subramanian | 02/06/2025

    Japanese nationals have been taken into custody in Cambodia, with authorities preparing  their deportation once charges are confirmed.

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    Enforcement

    SEBI Cracks Down on Bollywood ‘Pump and Dump’ Scam

    By Nithya Subramanian | 02/06/2025

    SEBI barred a Bollywood actor and several others from the securities market for manipulating shares using misleading YouTube videos and other techniques.

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    AML / KYC

    AUSTRAC Chief Vows Tough Enforcement as AML/CTF Net Widens

    By Nathan Lynch | 02/06/2025

    As Australia expands its AML/CTF regime, Brendan Thomas warns of strict action against businesses that ignore obligations and enable financial crime.

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