All posts tagged "Code of Conduct"
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382Crypto / Digital AssetsKorea Crypto Exchanges Agree Measures to Prevent Terra-style Losses
Under a new system being proposed, crypto exchanges will coordinate to stop trading in tokens that become excessively volatile within 24 hours.
June 20, 2022 -
379Australia & NZAustralia: New Govt to Push Ahead with BNPL, Crypto Regulation
The government will also continue a consultation process started by Josh Frydenberg on a regulatory framework for the crypto sector.
June 15, 2022 -
1.1KContributed ArticleRegulating the Metaverse: A “Metacode” of Conduct
Kanv Pandit highlights the need for a 'metacode of conduct' to protect metaverse users from loss and fraud until regulation catches up.
June 14, 2022 -
654AML / KYCAustralia: FSC Calls for Measures to Stop Online Scam Ads
The Financial Services Council is calling for the introduction of a mandatory code of conduct for digital platforms like Facebook and Google to prevent financial scams.
May 23, 2022 -
467ChinaChina Launches New Practice Guidelines for Securities Industry
A new database will be established to maintain records on China's 360,000 brokers. The process for Hong Kong and Taiwan licensees to practice in the mainland is simplified.
May 13, 2022 -
1.1KMalaysiaBNM Proposes Rules for Hiring Insurance, Takaful Agents
Insurers and takaful operators must undertake a due diligence process that includes reference checks with all of an agent's current and former employers.
April 30, 2022 -
416FeatureSEHK Adopts New Rules for Bookbuilding, Placing Activities
The listing rule amendments, due to take effect in August, are a consequence of changes to the Code of Conduct finalised by the SFC in October.
April 25, 2022 -
378IndiaRBI Issues New Rules on NBFC Compliance Function
Upper and middle layer NBFCs have until 1 October 2023 to install a compliance function and chief compliance officer.
April 21, 2022 -
568EnforcementSFC Bans China Tonghai Securities Representative for 20 Months
The representative conducted 1,089 trades in clients’ stock options accounts but was only given specific authorisation for 87 trades of the trades.
April 13, 2022 -
328IndiaSEBI Forms New Committee to Enhance Governance of MIIs
The committee will suggest measures to improve governance at market infrastructure institutions, including NSE, which experienced lapses during the tenure of its former CEO.
April 12, 2022
