The HKMA said banks operating in Hong Kong must use and make reference to the new corruption prevention guide.
March 28, 2023Transitional licences have expired. All advisers must now hold or operate under a full licence to provide regulated financial advice to retail clients.
March 20, 2023I-Access Investors incorrectly used data from system testing as production data and inadvertently triggered 27 stop loss sell orders by 12 clients.
March 15, 2023The former personal banker induced a victim into transferring funds for investment in fixed deposits and financial products that were never made.
February 14, 2023While Japan's code of conduct represents a key step forward, the “comply or explain” approach may hinder its effectiveness, writes the IEEFA’s Hazel James Ilango.
February 6, 2023The FSA is now calling on ESG evaluation and data providers to endorse the code of conduct, publish it on their websites, and notify the regulator.
December 19, 2022Stephanie Tsui and Mark Lin at Hogan Lovells discuss the legal framework and tools available in Hong Kong to combat greenwashing behaviour.
December 2, 2022Experian will facilitate creditworthiness checks for consumers using credit information submitted by all accredited BNPL players in Singapore.
December 1, 2022The UK FCA has announced the formation of a group to develop a new code of conduct for ESG data and ratings providers.
November 23, 2022Internal control failures were identified after a client complained that discretionary options trades fell outside the scope of the mandate.
November 9, 2022