All posts tagged "Code of Conduct"
-
336FeatureBNM Raises Expectations of Good Conduct in Wholesale Markets
The board and management must ensure good conduct culture is embedded and governance structures "inculcate fair and ethical decision making".
November 15, 2021 -
280EnforcementSFC Bans Two Ex-Licensees Over Use of Client Accounts
One former representative effected discretionary trades in clients’ accounts without authorisation. The other traded his own stocks from a client’s accounts.
November 12, 2021 -
426Feature
SFC Finalises Conduct Rules for Bookbuilding, Placing Activities
New requirements on bookbuilding, pricing, allocation and placing activities will take effect in August 2022, the SFC said.
October 31, 2021 -
405FeatureHKMA, SFC Direct Intermediaries to Improve Client Trade Practices
Intermediaries have been required to undertake remedial action to address non-compliance with transaction-related disclosure requirements.
October 30, 2021 -
364ESG / SustainabilityJapan Developing Certification Framework For ESG Related Bonds
Japan's FSA will also formulate codes of conduct for ESG evaluation organisations, covering transparency, fairness, and good governance.
October 29, 2021 -
312Hong KongCustomers Not Informed in Premium Financing Arrangements
The HKMA and IA found in joint inspections that customers may not be sufficiently informed about the potential impact of premium financing arrangements.
October 4, 2021 -
451AML / KYCSFC Finalises Investor ID, OTC Securities Reporting Regimes
The investor identification regime is expected to be launched in H2 2022. The securities transactions reporting regime will go live in H1 2023.
August 11, 2021 -
192Australia & NZNZ FMA Warns Influencers Against Providing Financial Advice
Social media influencers do not want to find themselves caught offering advice they’re not qualified or authorised to give, warns FMA chief Rob Everett.
June 30, 2021 -
286EnforcementSFC Fines Deutsche Securities Asia Over Prime Brokerage Statements
A system design caused a failure to distinguish between ex-entitlement dates and settlement dates of bonus share events in periodic statements.
June 25, 2021 -
715ESG / Sustainability
Japan Panel Offers Recommendations on Sustainable Finance
The panel says the FSA should introduce a code of conduct for ESG data providers and develop an information platform for ESG-related bonds.
June 22, 2021
