All posts tagged "Code of Conduct"
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305EnforcementSEBI 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 -
306EnforcementSFC 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 -
239Feature
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 -
276JapanJapan 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 -
354EnforcementNomura 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 -
341InternationalFMSB Issues Final Guidance on Conflicts of Interest
The FICC Markets Standards Board offers guidance to help market participants effectively deal with conflicts of interest that arise within their firms.
October 16, 2019 -
1.7KEnforcement
SFC Fines SEAVI Advent Ocean Private Equity HK$1mn
The SFC has reprimanded and fined SEAVI Advent Ocean Private Equity for allowing unlicensed individuals to perform regulated functions, in breach of the Code of Conduct.
October 7, 2019 -
303Australia & NZRBNZ, FMA Unimpressed by Insurers’ Inaction on Conduct Risk
RBNZ governor Adrian Orr says the sector has failed to demonstrate the necessary urgency and prioritisation to provide effective governance and monitoring of conduct risk.
September 18, 2019 -
272Asia-PacificPhilippines Moves to End Abusive Practices by Fintech Lenders
A code of ethics and code of conduct have been adopted by members of FinTechAlliance.ph prohibiting the harassment and shaming of delinquent borrowers.
September 18, 2019 -
641EnforcementSFC Fines HSBC HK$2.1m for Phone Recording Failures
Voice recording was inadvertently not enabled on some private banking service lines, resulting in over 5,800 client order instructions not being tape-recorded.
September 11, 2019
