All posts tagged "Code of Conduct"
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284EnforcementSFC Set to Deploy Data Analytics in Broker Inspections
High volume brokers were asked in 2019 to adopt new data standards to enable more timely data submissions to regulators when requested.
April 30, 2021 -
181IndiaSEBI Approves Listing Rule Changes, New ESG Reporting Requirements
The new reporting requirements set the stage for taking a leap for better disclosures in the ESG space in India, SEBI said.
April 2, 2021 -
142Enforcement
SFC Fines Black Marble Securities for Internal Control Failings
The disciplinary action followed a client complaint about unauthorised trading activities in his account from August 2016 to July 2017.
April 1, 2021 -
299AML / KYC
SFC Fines Sino-Rich Securities & Futures for AML Breaches
Sino-Rich Securities & Futures routinely processed 238 cash deposits and 269 third party transfers without adequate AML/CTF controls in place.
March 16, 2021 -
131Enforcement
SEBI Directs MIIs to Establish Controls to Prevent Market Abuse
Stock exchanges, clearing corporations and depositories are asked to establish a code of conduct and institutional mechanism to prevent fraud and market abuse.
March 8, 2021 -
422Australia & NZAustralia Launches ‘Buy Now Pay Later’ Code of Conduct
The code makes AFCA membership compulsory and incorporates ASIC’s new design and distribution obligations regime.
February 27, 2021 -
637Hong KongHKMA Raises Expectations for Bank Codes of Conduct
Codes of Conduct should include provisions to address conflicts of interest, promote a culture of accountability and encourage staff to report unethical practices.
February 15, 2021 -
218Feature
SFC Sets Out Conduct Standards Expected in Capital Raisings
The proposals establish the standards of conduct expected of intermediaries participating in bookbuilding, pricing, allocation and placing activities.
February 9, 2021 -
367EnforcementSFC Fines Fulbright Securities Over Short Selling Controls
Fulbright Securities failed to detect and prevent illegal short selling failures in at least 93 instances over a period of at least six months.
December 24, 2020 -
504ChinaCSRC Updates Senior Manager Rules for Securities, Fund Operators
Securities and fund management firms are expected to establish and improve internal accountability mechanisms for senior managers, and penalise violations with clawback and malus.
November 25, 2020
