Enforcement

Mok Piak Liang convicted of manipulating share price to push up value of stock pledged to margin account and avoid having to top-up account by other means.

Parliamentary submission suggests reforms allowing ASIC to assume identities on the dark web, share phone data with foreign regulators, seize electronic devices.

Information pack shows only one divergence between what is considered misconduct in mainland China versus Hong Kong.

New market conduct rules to be implemented over next few weeks; Violators can be barred from operating or fined up to 1mn baht per day.

Treasury for Financial Services and the Treasury says FRC to given independent oversight, inspection and disciplinary powers.

US Federal Reserve Board cites deficiencies in Mega Bank's operations, risk management and compliance controls in relation to AML and bank secrecy laws.

New guidance removes threat of criminal prosecution in cases of “non-serious” regulatory breaches and cooperation 'above and beyond' regulatory obligations.

Ban relates to accounting fraud at software exporter Satyam Computer Services, where PwC was auditor.

The return of SAC Capital’s founder with a new venture reveals the complicated ethics of a post financial crisis world.

Report warns on conflicts of interest in sales practices and asset management; notes asset management sector now has more than half of all intermediaries.