All posts tagged "Code of Conduct"
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659FeatureHKMA, SFC to Jointly Review OTC Product Pricing at Intermediaries
The thematic review will assess the spreads intermediaries charge for non-exchange traded investment products such as bonds and structured products.
May 19, 2020 -
563AML / KYCSFC Fines BOCOM International Securities for “Serious” Breaches
The brokerage did not have effective controls to identify third party deposits, and "extensive deficiencies" were found in its handling of margin lending and margin calls.
April 20, 2020 -
346Capital RegulationSEBI Bars Portfolio Managers from Charging Upfront Fees
SEBI has barred portfolio managers from charging upfront fees from clients and imposed caps on annual management fees and exit loads.
February 18, 2020 -
414EnforcementSFC Imposes One-Year Ban on RHB Securities Analyst
The analyst traded stocks covered in research reports he prepared through his father's securities trading account held at another brokerage.
February 6, 2020 -
296Australia & NZAustralia Drafts Laws on 22 Royal Commission Recommendations
The draft legislation is aimed at enhancing protections for consumers and small businesses, and strengthening the role of ASIC and APRA.
February 3, 2020 -
392EnforcementSEBI Establishes Insider Trading Whistleblower Protection Office
The 'Office of Informant Protection' is charged with receiving and processing information on insider trading disclosed by whistleblowers, and with protecting their identities.
December 28, 2019 -
411EnforcementSFC Fines Adamas Asset Management for Disclosure Failings
The asset manager was fined HK$2.5mn for filing 339 incorrect or late notifiable interest disclosures to the SEHK and eight listed companies.
December 24, 2019 -
528Feature
SFC Concludes Consultation on OTC Derivatives Margin Requirements
IM requirements will be phased in for firms with AANA exceeding HK$375bn starting from 1 September 2020, the same date VM requirements take effect.
December 19, 2019 -
380JapanJapan to Revise Stewardship Code to Include ESG Factors
The proposed revisions could be adopted as early as March, increasing the focus on ESG factors for institutional investors in Japan.
December 12, 2019 -
485EnforcementNomura Releases New Code of Conduct for Employees
Nomura Holdings has released a 19-point code of conduct for its employees following information leaks that subjected the firm to regulatory action.
December 5, 2019
