Enforcement
Penalties, licence actions and other enforcement outcomes published by regulators.
Date
Story
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SFC freezes up to HK$4.66bn and suspends Baicha shares over suspected IPO rigging
The SFC froze up to HK$4.38bn linked to two suspected IPO-rigging groups, its largest freeze of this kind, and had trading in Baicha shares suspended.
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Fed orders American Express to rebuild enterprise-wide anti-money laundering controls
A Federal Reserve consent order gives American Express 90 days to file AML, OFAC and board oversight plans, as the OCC acts separately against its bank.
