All posts tagged "Whistleblower"
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556EnforcementIndian Police Arrest Former NSE Head Chitra Ramkrishna
The CBI said evidence shows that Ramkrishna engaged in a conspiracy with another executive, after she coerced NSE's HR department to hire him.
March 8, 2022 -
1.5KAML / KYCSuisse Secrets: Data Leak Reveals Criminals Clients at Swiss Bank
The data unearthed evidence that Credit Suisse accounts were used by clients involved in torture, drug trafficking, money laundering, corruption and other serious crimes.
February 21, 2022 -
379EnforcementHong Kong FRC Launches New Whistleblowing Policy
Protecting whistleblowers' identities will be the FRC's highest priority. It will not share any personal information to outside parties unless it is "legally obliged to do so".
December 6, 2021 -
333EnforcementCFTC Pays Record-breaking $200m Whistleblower Award
The award is the largest whistleblower payout on record, and for the first time includes an amount based on sanctions collected by a foreign regulator.
October 25, 2021 -
1.5KAML / KYCESG Due Diligence: Setting a High Water Mark
Refinitiv's Wendy De Cruz talks to Regulation Asia about new supply chain laws reshaping industries and the challenges FIs face in enhancing due diligence practices.
October 6, 2021 -
370EnforcementRBI Penalises HDFC Over Sale of Non-financial Products
HDFC violated rules that prohibit banks from entering into any business unrelated to financial services.
June 3, 2021 -
407ChinaChina Instructs Deloitte to Investigate Alleged Auditing Violations
Auditing violations alleged by a whistleblower include improper conduct by certain Deloitte staff members in performing the audits of five companies in 2016 and 2017.
February 13, 2021 -
352Enforcement
SEBI Penalises NSE, Former Officials in Colocation Case
SEBI says NSE failed to ensure fair and equitable access by trading members subscribing to its tick-by-tick data feed system.
February 12, 2021 -
273Australia & NZFormer NAB Executive Jailed Over Scheme to Defrauding Bank
An events company was issuing and sending invoices to NAB and the former executive was receiving bribes to ensure they were paid.
February 2, 2021 -
1.7KAML / KYCAnti-Money Laundering a Priority for Incoming Treasury Secretary Yellen
Incoming Treasury Secretary Janet Yellen thanked Congress for passing the AMLA, widely considered to be the most significant overhaul of AML legislation in the US since 2001.
January 25, 2021
