All posts tagged "Code of Conduct"
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294Capital 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 -
349EnforcementSFC 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 -
253Australia & 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 -
362EnforcementSEBI 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 -
368EnforcementSFC 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 -
410Feature
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 -
340JapanJapan 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 -
432EnforcementNomura 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 -
380InternationalFMSB 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 -
2.0KEnforcement
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
