Financial industry associations say a ban on commissions paid to financial advisers for selling financial products would harm consumers.
January 25, 2023KKR & Co, Apollo Global Management and Carlyle Group have disclosed that they are subject to the SEC's regulatory probe.
November 15, 2022ASIC will target greenwashing, predatory lending and crypto investment scams, along with other "enduring" priorities involving misconduct and systemic compliance failures by large FIs.
November 7, 2022The SEC's probe into the use of personal devices and messaging apps has reportedly expanded beyond broker-dealers to include investment funds and advisers.
October 14, 2022The framework will help LEAP Market companies transfer to the ACE Market, which offers a "more robust listing environment" and is open to the public.
August 11, 2022Asset managers will be required to justify their use of ESG labels under new proposals from the SEC.
May 27, 2022The amendments will make available a wider pool of qualified corporate finance advisers to act as a Recognised Principal Adviser on the Main Market.
August 12, 2021The MAS penalty follows similar action taken against UBS by the Hong Kong SFC to penalise the bank and demand compensation for clients that were overcharged over a ten-year period.
November 18, 2019A consultation proposes the creation of a nomination committee comprising external experts to recommend a self regulatory organisation for mutual fund distributors and advisers to curb mis-selling.
April 2, 2019