Financial Compliance

SFC Obtains Compensation and Disqualification Orders

The Securities and Futures Commission (SFC) has successfully obtained compensation and disqualification orders against individuals involved in misconduct. These orders aim to protect investors and maintain market integrity by holding wrongdoers accountable.

SFC Bans Andy Lau Ka Ho for Life

The Securities and Futures Commission (SFC) has banned Andy Lau Ka Ho from the industry for life following findings of misconduct. This action stems from his involvement in the IPO of a company where he acted as a sponsor.

SFC Enforcement: Retail Trader Sentenced for False Trading

The Securities and Futures Commission (SFC) announced that a retail trader has been sentenced in a false trading case. This action highlights the SFC's commitment to maintaining market integrity and deterring manipulative trading practices.

JFTC Investigates Microsoft for Antimonopoly Act Violation

The Japan Fair Trade Commission (JFTC) has opened an investigation into Microsoft Corporation for suspected violations of the Antimonopoly Act. The JFTC is seeking information and comments from third parties regarding the alleged anti-competitive practices.

Japan Fair Trade Commission Press Releases 2025

The Japan Fair Trade Commission (JFTC) has published its press releases for 2025, detailing various activities including merger reviews, enforcement actions, and the issuance of guidance. These releases cover a range of industries and regulatory matters handled by the JFTC throughout the year.

JFTC Issues Cease and Desist Order to MC Data Plus

The Japan Fair Trade Commission (JFTC) has issued a cease and desist order to MC Data Plus, Inc. for alleged violations of the Antimonopoly Act. This action indicates potential anticompetitive practices by the company.

JFTC Reviews Adobe Figma Acquisition and Cautions Logic Inc.

The Japan Fair Trade Commission (JFTC) has closed its review of Adobe Inc.'s proposed acquisition of Figma, Inc., indicating no immediate concerns. Separately, the JFTC issued a caution to Logic Inc. regarding potential violations of the Antimonopoly Act.

Japan Fair Trade Commission Press Releases 2022

The Japan Fair Trade Commission (JFTC) has released its press releases for 2022, detailing various enforcement actions, training courses, and participation in international competition events. These announcements cover a range of antitrust and competition policy matters.

Real Estate Agent Prosecuted for Fraud

NSW Fair Trading has prosecuted former real estate agent Dean Norburn for dishonestly obtaining $305,053 by deception. He was convicted and sentenced to an 18-month Intensive Corrections Order, 300 hours of community service, and ordered to pay $100,000 compensation.

NSW Fair Trading Suspends Real Estate Licence Pending Misconduct Action

NSW Fair Trading has suspended the real estate licence of Anthony Di Nardo for 60 days pending disciplinary action due to allegations of sexual misconduct. A Show Cause notice was issued, requiring a response by March 23, 2026, regarding why disciplinary action should not be taken.