All posts tagged "Code of Conduct"
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425ChinaCSRC 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 -
540Australia & NZ‘Buy Now Pay Later’ Consumers Suffering Harm: ASIC
About 20% of consumers cut back on or went without essentials such as meals in the last 12 months in order to make their buy now pay later payments.
November 17, 2020 -
412FeatureSFC Plans to Issue Code of Conduct for Investment Banks – Report
The SFC is reportedly seeking to frame a detailed code of conduct for capital raisings that will cover how investment banks calculate their fees.
November 17, 2020 -
509EnforcementMalaysia SRO Reprimands Two Unit Trust Consultants for Misconduct
The two consultants allegedly schemed a plot to market, distribute and sell unit trust funds while they served as registered consultants of different entities.
October 23, 2020 -
1.2KIndiaSEBI Issues Series of Risk-Reducing Measures for Debt Funds
The reforms include a new code of conduct, new responsibilities for debenture trustees, new fund labeling requirements, and restrictions on inter-scheme transfers, among others.
October 18, 2020 -
332Enforcement
SFC Suspends Former Licensed Rep for Over Discretionary Trading
The former Ewarton Securities representative placed his own orders within 30 seconds ahead of those placed for the client’s account.
September 23, 2020 -
328Enforcement
SFC Bans Account Exec for 18 Months Over Discretionary Trading
The former China Tonghai Securities account executive effected over 6,000 trades in a client’s account on a discretionary basis for almost 7 years without authorisation.
August 13, 2020 -
538MalaysiaMalaysia Issues Director Conduct Guidelines for Listed Issuers
The guidelines set out the obligations of directors of listed companies and their subsidiaries, and requirements for the establishment of group-wide frameworks.
July 30, 2020 -
790FeatureHKMA, 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 -
696AML / 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
