All posts tagged "Code of Conduct"
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737Asia-PacificPhilippines: Online Lenders to Adopt Code of Conduct
The pledge comes after 48 online lenders were cited for using customers’ personal data to publicly shame people who did not settle their debts on time.
June 8, 2019 -
924Australia & NZAustralia Consults on Making Industry Codes Legally Enforceable
The Treasury is proposing legislative amendments to make industry codes of conduct legally enforceable, where contraventions will constitute a breach of the law.
March 19, 2019 -
820EnforcementSFC Suspends China Merchants Securities Exec Over Sponsor Work
The SFC said Wu Yinong breached the Code of Conduct and the Sponsor Guidelines when he was a sponsor principal in charge of supervising the execution of a 2009 listing application.
February 28, 2019 -
1.1KEnforcementIndia Launches Money Laundering Probe Against Former ICICI Bank Chief
India’s Enforcement Directorate will seek to determine if alleged kickbacks generated in loan deals worth $262mn were laundered to create tainted assets.
February 4, 2019 -
1.1KContributed ArticleSFC Fund Manager Code of Conduct – Five Important Next Steps
Derek McGibney at ACA Compliance Group lays out the activities investment firms should be undertaking to ensure ongoing compliance with the FMCC.
January 4, 2019 -
742FeatureSFC Concludes Consultation on Enhancements to OTC Derivatives Regime
OTC derivatives participants will be subject to new risk mitigation requirements, as well as conduct requirements for dealings with group affiliates and related parties.
December 13, 2018 -
596Enforcement
Hong Kong Forex Broker Fined for Mishandling Client Money
HPI Forex Limited transferred client money from segregated client account to two overseas brokers, breaching the Code of Conduct and the SFC’s client money rules.
August 23, 2018 -
1.0KContributed Article
SFC Fund Manager Code of Conduct – Five Steps to Compliance
Investment management firms with operations in Hong Kong must turn their attention to the new SFC Fund Manager Code of Conduct, which comes into force in four months.
July 17, 2018 -
562AML / KYCMAS Proposes Amendments to Misconduct Reporting Regime
Proposed changes aim to provide greater clarity on requirements and reduce errors in the submission of misconduct reports; reference checks to be mandatory when recruiting staff.
July 12, 2018 -
385EnforcementCitigroup unit Fined HK$4mn for Alternative Liquidity Pool Failures
SFC found that due to an incorrect system setting for client profiles, over 130 clients had accessed alternative liquidity pool Citi Match without being assessed whether they were qualified investors.
July 11, 2018
