Credit Suisse has been fined $2.8m for failing to disclose investment banking relationships and market making activities in research reports on Hong Kong-listed securities.
Deputy chief Julia Leung says the SFC is concerned that brokers are using complex trading arrangements to circumvent regulatory oversight, among other supervisory priorities.
ASIC is satisfied with ANZ’s compliance with a March 2018 court enforceable undertaking related to the bank's fees for no service issue.
AMP superannuation units have been ordered to make significant changes to their business practices, and to renew and strengthen their board.
The SFC and CSRC have agreed on a new cooperative framework to facilitate and coordinate cross-border investigations in "high impact or urgent cases".
ICBC Financial Services LLC will pay over $42m to the US SEC for improper handling of ‘pre-released’ ADRs, and $3m to the DOJ for conspiring to rig bids related to the release of ADRs.
ASIC is satisfied that Commonwealth Financial Planning has completed the necessary steps to address a service model that charged fees for no service.
KRX probe to determine if Citadel's HFT algorithm breached fair trade rules; Merrill Lynch reprimand to be decided following alleged market disruption.
The appointment took employees by surprise on Friday as it was announced by an anti-corruption body official installed at ICBC rather than by the bank's own chief.
SEBI wants to institute a process that incentivises timely reporting of instances of insider trading and provides for the granting of rewards to whistleblowers.