Aggregated News From Investment Management Regulators

APAC

Certificate No. RC4733 of 2022_A.P Nos 9745 & 9746 of 2023 _ Rajendra Prasad Rohit Kumar HUF (PAN: AACHR7534J)_Illiquid Stock Options

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:

Final Order in the matter of M/s GVM Research

This news item was originally published by the Securities and Exchange Board of India (SEBI IN). See the article here:

Don George Evans sentenced for conspiring to manipulate Quantum shares

On 31 January 2023, Don George Evans of Woodlands, Western Australia, was sentenced in the Supreme Court of Western Australia to 12 months' imprisonment. Mr Evans will be released immediately upon entering into a recognisance of $5000, to be of good behaviour for two years. Mr Evans was sentenced for conspiring with former Quantum Resources Limited director Avrohom Kimelman and corporate consultant Benjamin Heath Cooper to push Quantum shares to a pre-determined price. Quantum Resources is now known as Nova Minerals Limited. Mr Evans was introduced to then-Quantum director Mr Kimelman by Mr Cooper, whose firm, Cooper Corporate & Consulting Pty Ltd,...

SFC reprimands and fines Jinrui Futures (Hong Kong) Limited $4.8 million and sanctions its responsible officers for regulatory breaches

The Securities and Futures Commission (SFC) has reprimanded and fined Jinrui Futures (Hong Kong) Limited (Jinrui Futures) $4.8 million for failures in complying with anti-money laundering and counter-terrorist financing (AML/CFT) and other regulatory requirements between April 2015 and June 2018 (Note 1).

Regulator Information

Abbreviation: ASIC
Jurisdiction: Australia
Regulator Name: Central Bank of Armenia
Abbreviation: CBA
Jurisdiction: Armenia
Email: [email protected]
Abbreviation: CSRC
Jurisdiction: China
Email: [email protected]
Regulator Name: Financial Markets Authority
Abbreviation: FMA
Jurisdiction: New Zealand
Email: [email protected]
Abbreviation: MAS
Jurisdiction: Singapore
Email: [email protected]
Abbreviation: SEBI
Jurisdiction: India
Email: [email protected]
Abbreviation: FSA
Jurisdiction: Japan
Email: [email protected]
Abbreviation: SEC TH
Jurisdiction: Thailand
Email: [email protected]
Abbreviation: SFC
Jurisdiction: Hong Kong
Email: [email protected]
Regulator Name: State Securities Commission
Abbreviation: SSC
Jurisdiction: Vietnam
Email: [email protected]

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