Regulatory

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Alkundus AG: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Alkundus AG “is suspected of conducting unauthorised activities in the financial market”.

Labuan FSA: Business Restrictions (March 13, 2025)

Public Notice by the Labuan Financial Services Authority regarding business restrictions on 34 "Labuan Licensed Entities" for "non-compliance to minimum capital and/or other regulatory requirements".

SEC v. Eamma Safi et al: Complaint (‘Insider Trading’)

Complaint alleging the defendants "willfully participated in an international insider trading scheme that netted them millions in illicit profits from trading in advance of market-moving announcement" in U.S. Securities and Exchange Commission v. Eamma Safi, described as a citizen of Germany residing in the United Arab Emirates, and Zhi Ge, a.k.a. Josh Ge, described as a citizen of Singapore, at the U.S. District Court for the District of Massachusetts.

MTACC Ltd.: License Cancellation (Malta)

Public Notice by the Malta Financial Services Authority that it has cancelled the "financial institution licence" of MTACC Ltd. and directed the company to file a winding up application for regulatory breaches.

Trinity Capital SA: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Trinity Capital SA “is suspected of conducting unauthorised activities in the financial market”.

Labuan FSA: Business Restrictions (February 4, 2025)

Public Notice by the Labuan Financial Services Authority regarding business restrictions on 30 Labuan Licensed Entities "for non-compliance to minimum capital and/or other regulatory requirements"

Shake AG: Public Warning (Switzerland)

Public Warning by the Swiss Financial Market Supervisory Authority that Shake AG “is suspected of conducting unauthorised activities in the financial market”.

SEC v. Paul Bilzerian: Opinion & Contempt Order (‘Saint Kitts and Nevis Litigation’)

Memorandum Opinion and Contempt Order for allegedly violating a Court order "by instigating legal proceedings ... in the Eastern Caribbean Supreme Court" against Kevin Horstwood, described as a resident of Saint Kitts and Nevis, in U.S. Securities and Exchange Commission v. Paul Bilzerian at the U.S. District Court for the District of Columbia.

Pio Valletta: €105K Fine (Malta)

Public Notice by the Malta Financial Services Authority that it has imposed a fine of €105,000 and other penalties on Dr. Pio Valletta for operating as a corporate services provider without being registered.

Hub Investments Ltd.: License Revocation (Mauritius)

Pubic Notice by the Mauritius Financial Services Commission that it has revoked the "Global Business Licence and Investment Dealer (Full-Service Dealer Excluding Underwriting) Licence" of Hub Investments Ltd.

SEC v. Arbitrade Ltd. et al: Confidentiality & Protective Order (‘Bermuda Testimony’)

Confidentiality and Protecting Order Governing Disclosure of Personal, Sensitive, and Other Confidential Information in U.S. Securities and Exchange Commission v. Arbitrade Ltd., of Bermuda; Cryptobontix Inc., of Canada; Troy R.J. Hogg, of Canada; James L. Goldberg, Stephen L. Braverman, and Max W. Barber, as Defendants, and SION Trading FZE, of the United Arab Emirates, as Relief Defendant, at the U.S. District Court for the Southern District of Florida.

SEC v. Equity Acquisition Company Ltd. et al: Compliance Enforcement Application (‘$3.4M in Outstanding Regulatory Penalties’)

Application for an Order Enforcing Compliance with Commission Order requiring the respondents to pay $3.9 million in U.S. Securities and Exchange Commission v. Equity Acquisition Company Ltd., described as "a trust organized under the laws of Bermuda", and Carsten Klein, described as a citizen of Germany residing in Parkland, Florida, at the U.S. District Court for the Southern District of Florida.

CLTS Technologies (Gibraltar) Ltd.: License Revocation (Gibraltar)

Public Notice by the Gibraltar Financial Services Commission that it has revoked the license of CLTS Technologies (Gibraltar) Limited, which had been registered with the regulator as "a Virtual Asset Arrangement Provider", for "contraventions of the Proceeds of Crime Act 2015".

Laurin Fäh: Cease & Desist Order (Switzerland)

Final Ruling by the Swiss Financial Market Supervisory Authority instructing Laurin Füh to cease conducting unlicensed activity, particularly commercial deposit-taking.

Labuan FSA: Business Restrictions (December 13, 2024)

Public Notice by the Labuan Financial Services Authority regarding business restrictions on 30 Labuan Licensed Entities "for non-compliance to minimum capital and/or other regulatory requirements".

SEC v. Chibuzo Onyeachonam et al: Complaint (‘$2.9M Fraud’)

Complaint alleging the defendants "impersonated real-life United States securities broker and investment adviser representatives online and by telephone and fraudulently obtained at least $2.9 million from mostly U.S.-based investors" in U.S. Securities and Exchange Commission v. Chibuzo Augustine Onyeachonam, Stanley Chidubem Asiegbu, and Chukwuebuka Martin Nweke-Eze, all described as citizens and residents of Nigeria, at the U.S. District Court for the District of New Jersey.

SEC v. Frederick Dencer et al: Complaint (‘$17M Fraud’)

Complaint alleging "the Standard Holdings Defendants defrauded at least 40 investors out of millions of dollars, which Defendants Tayt Dencer and his son, Luke Dencer, misappropriated to fund their lavish lifestyle" in U.S. Securities and Exchange Commission v. Frederick Tayton Dencer , Luke Abelard Dencer, Standard Holdings Inc., Standard Huaxia Ltd., of Hong Kong, and Dennis Edward Butler at the U.S. District Court for the Central District of California.

SEC v. Xtreme Fighting Championships Inc. et al: Complaint (‘$5M Securities Fraud’)

Complaint alleging "a fraudulent scheme to illegally sell large amounts of Xtreme Fighting stock to the investing public" involving entities in the Cayman Islands, Saints Kitts and Nevis, and USA in U.S. Securities and Exchange Commission v. Steve A. Smith Jr. and Xtreme Fighting Championships Inc. at the U.S. District Court for the Southern District of Florida.

Video: Regulating English Football: Football Governance Bill, Financial Fair Play & Anti-Corruption Measures

This session will look at proposed and existing laws and rules to keep English football clean and competitive, including Financial Fair Play rules and the Football Governance Bill, which would appoint an 'Independent Football Regulator' to regulate English men's elite football, including the Premier League, which is the world's third-highest grossing sports league by revenue.

Novalpina Capital Partners I GP Sàrl v. Oregon Department of Justice: Plaintiff’s Reply in Support of Petition to Set Aside Civil Investigation Demand

Plaintiff's Reply in Support of its Petition to Set Aside Civil Investigation Demand in Novalpina Capital Partners I GP Sàrl, described as "the former general partner of a private equity fund registered in the Grand Duchy of Luxembourg in which the Oregon Public Employees Retirement Fund made an investment" v. Oregon Department of Justice at the Circuit Court of the State of Oregon, for the County of Multnomah, USA.

Ontario Securities Commission v. Chuck Sullivan: Judicial Assistance (Canada)

Emergency Ex Parte Application for Judicial Assistance by the Ontario Securities Commission to compel Chuck Sullivan "to appear and testify remotely before the Capital Markets Tribunal" regarding an action against Kallo Inc., John Cecil, and Samuel Pyo for alleged fraud, filed at the U.S. District Court for the Middle District of North Carolina.