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Singapore MAS 2025 Q1 Enforcement Actions: 1) Individual (Mitsui & Co...

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Singapore MAS 2025 Q1 Enforcement Actions: 1) Individual (Mitsui & Co Subsidiary Regency Steel Asia Chairman) Gui Boon Sui Fined $254,000 for Using Non-Authorised...

Germany $1 Trillion Asset Manager DWS Appoints 11-Year Veteran Sharon Tan...

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Germany $1 Trillion Asset Manager DWS Appoints 11-Year Veteran Sharon Tan as Country Officer & CEO Singapore and to Continue Existing Roles as APAC...

Germany $1 Trillion Asset Manager DWS Fined $27 Million for Greenwashing...

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Germany $1 Trillion Asset Manager DWS Fined $27 Million for Greenwashing with Misleading Statements on ESG by Germany Prosecutors, Claimed Being Leader in ESG...

Switzerland & Singapore-Based French Commodities Giant Trafigura Group Mongolia Boss Jononbayar...

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Switzerland & Singapore-Based French Commodities Giant Trafigura Group Mongolia Boss Jononbayar Erdenesuren Loaned $500 Million to Trafigura Group Mongolia Principal Counterparty Lex Oil Owned...

Big 4 Audit Firm PwC Hong Kong & China Delays Equity...

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Big 4 Audit Firm PwC Hong Kong & China Delays Equity Payout to Retiring PwC Partners, China Regulators Issued PwC China 6-Month Ban &...

Hong Kong SFC Fines Enlighten Securities $643,000 for Failures in Securities...

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Hong Kong SFC Fines Enlighten Securities $643,000 for Failures in Securities Margin Financing & 7-Month Suspension for Senior Management & Responsible Officer Denny Kua...

Switzerland Finance Ministry Fines ex-Credit Suisse Chief Compliance Officer Lara Warner...

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Switzerland Finance Ministry Fines ex-Credit Suisse Chief Compliance Officer Lara Warner $113,000 (CHF 100,000) for Failure to Notify Authorities of $8.9 Million (CHF 7.9...

UK Supreme Court Denies Appeal Lawsuit (No Arguable Point of Law)...

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UK Supreme Court Denies Appeal Lawsuit (No Arguable Point of Law) by Elliott Associates Against London Metal Exchange for $12 Billion of Cancelled Nickel...

UK FCA Fines London Metal Exchange (LME) $11.9 Million for Failure...

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UK FCA Fines London Metal Exchange (LME) $11.9 Million for Failure to Ensure Orderly Trading in Severe Market Stress in 2022 March with LME...

Australia Court Fines Australia Largest Superannuation Fund $225 Billion AustralianSuper $6.6...

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Australia Court Fines Australia Largest Superannuation Fund $225 Billion AustralianSuper $6.6 Million for Greenwashing Misconduct Claiming Investments in Securities were Eliminated or Restricted by...