Regulators notes 'controls, monitoring and compliance review’ lapses by private banks.
Malaysia revokes licenses for manipulative trading activities; HK offender ordered to pay regulator's costs.
Regulator completes nearly 40% more investigations in 9M16; sharp fall in criminal charges laid.
Regulator to test blockchain-backed securities and futures transactions.
SFC says Li Lee not fit and proper to be licensed following criminal convictions.
Ferheen Mahomed will serve as legal department head, monitor LME, LME Clear.
Firm’s neglect of regulatory standards affected prices in about 240 transactions.
Court grants SFC request to stop suspects transferring $3.3 million out of Hong Kong.
Licensed corporations need to complete tests by the end of May.
SFC identified 200 instances of non-compliance during 2016 inspections.