The Centre for Risk, Compliance & Governance Studies
Register
CRCGSC.R.C.G.S

💼 Asset & Wealth Management — regulation across countries

RegulatorCountryOfficial site
APRA Australian Prudential Regulation Authority Australia source
ASIC Australian Securities and Investments Commission Australia source
ACCC Australian Competition and Consumer Commission Austria source
ACSC Australian Cyber Security Centre Austria source
CVM Comissão de Valores Mobiliários Brazil source
OSFI Office of the Superintendent of Financial Institutions Canada source
OSC Ontario Securities Commission Canada source
CSRC China Securities Regulatory Commission China source
FRA Financial Regulatory Authority Egypt source
AMF Autorité des marchés financiers France source
BaFin Federal Financial Supervisory Authority Germany source
SFC Securities and Futures Commission Hong Kong source
IFSCA International Financial Services Centres Authority India source
PFRDA Pension Fund Regulatory and Development Authority India source
SEBI Securities and Exchange Board of India India source
CBI Central Bank of Ireland Ireland source
FSA Financial Services Agency Japan source
CRF Cellule de Renseignement Financier Luxembourg source
CSSF Commission de Surveillance du Secteur Financier Luxembourg source
CNPD Commission nationale pour la protection des données Luxembourg source
BM Bursa Malaysia Malaysia source
Labuan FSA Labuan Financial Services Authority Malaysia source
MACC Malaysian Anti-Corruption Commission Malaysia —
SC Securities Commission Malaysia Malaysia source
DPO Data Protection Office Mauritius source
FIU-MU Financial Intelligence Unit Mauritius source
FSC Financial Services Commission Mauritius source
AFM Autoriteit Financiële Markten Netherlands source
DNB De Nederlandsche Bank Netherlands source
OFSI Office of Financial Sanctions Implementation United Kingdom source
OFAC Office of Foreign Assets Control United States source
InstrumentTypeCountryYearSource
CPS 230 Operational Risk Management Direction Australia 2026 source
CPS 234 Information Security Direction Australia 2019 source
Corporations Act 2001 Act Australia 2001 source
AMF General Regulation Regulation France 2004 source
Securities and Futures Ordinance (Cap. 571) Act Hong Kong 2002 source
Central Bank (Individual Accountability Framework) Act 2023 Act Ireland 2023 source
Criminal Justice (Money Laundering and Terrorist Financing) Act 2010 Act Ireland 2010 source
Financial Instruments and Exchange Act (FIEA) Act Japan 2006 source
CSSF Circular 22/806 on outsourcing arrangements Circular Luxembourg 2022 source
Register of Beneficial Owners(RBE Law) Act Luxembourg 2019 source
Law of 17 December 2010 on undertakings for collective investment Act Luxembourg 2010 source
Law of 12 November 2004 on the fight against money laundering and terrorist financing Act Luxembourg 2004 source
Law of 5 April 1993 on the financial sector Act Luxembourg 1993 source
Capital Markets and Services Act 2007 Act Malaysia 2007 source
Data Protection Act 2017 Act Mauritius 2017 source
Financial Services Act 2007 Act Mauritius 2007 source
Financial Intelligence and Anti-Money Laundering Act (FIAMLA) Act Mauritius 2002 source

Showing the first 25 of 346 — open a country to see its full list.

DateEntityCountryActionPenaltySource
10 SEP 2026 An Individual United States Settlement 1,427,230 USD≈ 1,427,230 USD source
2 SEP 2026 Citibank, N.A., London Branch United Kingdom Monetary Penalty 4,732,831 GBP source
18 AUG 2026 Bendigo and Adelaide Bank Limited Australia Licence Action — source
13 AUG 2026 Unidentified entities – manipulative trades in Closing Auction Session on Sensex expiry (BSE) India Ex-Parte Interim Order — source
12 AUG 2026 Rice Lake Weighing Systems, Inc. United States Settlement 60,764 USD≈ 60,764 USD source
3 JUL 2026 ASX Limited Australia Civil Penalty (Court-ordered) 20,500,000 AUD≈ 14,657,500 USD source
29 JUN 2026 Mercer Superannuation (Australia) Limited Australia Civil Penalty (Court-ordered) 10,300,000 AUD≈ 7,364,500 USD source
18 JUN 2026 HSBC Bank Australia Limited Australia Civil Penalty (Court-ordered) 35,000,000 AUD≈ 25,025,000 USD source
17 JUN 2026 Sabre Global Technologies Limited United Kingdom Monetary Penalty 1,000,921 GBP source
12 JUN 2026 Union Standard International Group Pty Ltd; Maxi EFX Global AU (EuropeFX); BrightAU Capital (TradeFred) Australia Civil Penalty (Court-ordered) 300,200,000 AUD≈ 214,643,000 USD source
1 JUN 2026 FTI Consulting, Inc. United States Settlement 1,050,000 USD≈ 1,050,000 USD source
27 MAY 2026 Westpac Banking Corporation Australia Civil Penalty (Court-ordered) 26,000,000 AUD≈ 18,590,000 USD source
25 MAY 2026 Walker Stores Pty Ltd (trading as Snaffle) in liquidation Australia Civil Penalty (Court-ordered) 33,500,000 AUD≈ 23,952,500 USD source
19 MAY 2026 Deutsche Bank AG London Branch United Kingdom Monetary Penalty 165,000 GBP source
18 MAY 2026 Adani Enterprises Limited United States Settlement 275,000,000 USD≈ 275,000,000 USD source
28 APR 2026 Winsome Yarns Ltd India Monetary Penalty 2,000,000 INR≈ 21,131 USD source
2 APR 2026 Fiducian Portfolio Services Limited Australia Licence Action — source
30 MAR 2026 Apple Distribution International Limited United Kingdom Monetary Penalty 390,000 GBP source
17 MAR 2026 TradeStation Securities, Inc. United States Settlement 1,110,661 USD≈ 1,110,661 USD source
16 MAR 2026 Macquarie Securities (Australia) Limited Australia Civil Penalty (Court-ordered) 35,000,000 AUD≈ 25,025,000 USD source
25 FEB 2026 An Individual United States Settlement 3,777,000 USD≈ 3,777,000 USD source
12 FEB 2026 IMG Academy, LLC United States Settlement 1,720,000 USD≈ 1,720,000 USD source
26 JAN 2026 Bank of Scotland PLC United Kingdom Monetary Penalty 160,000 GBP source
19 DEC 2025 ANZ Banking Group Ltd Australia Civil penalty (Federal Court) 250,000,000 AUD source
16 DEC 2025 Exodus Movement, Inc. United States Settlement 3,103,360 USD≈ 3,103,360 USD source