All posts tagged "Conduct"
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355Australia & NZWestpac Penalised in Consumer Credit Insurance Mis-selling Case
Westpac issued consumer credit insurance policies to customers who did not request the product, then asserted a right to payment which customers were not liable for.
April 8, 2022 -
446EnforcementSFC Bans BNP Representative for Unauthorised Discretionary Trading
The relationship manager asked clients to pre-sign blank instruction forms so he could place trades for their accounts without having to inform them in advance.
March 30, 2022 -
445FeatureHKMA Issues Additional Guidance for SVF Licensees
New practice note offers guidance on governance, outsourcing, internal controls, technology risk, and business conduct, among other areas.
March 28, 2022 -
580Australia & NZASIC Probes Fund Managers for Misleading Marketing
ASIC is assessing whether fund managers made false or misleading statements or engaged in misleading or deceptive conduct when marketing their funds.
March 24, 2022 -
437Australia & NZACCC Launches Court Proceedings Over Crypto Ads on Facebook
The ads contained links to fake media articles containing quotes attributed to public figures endorsing cryptocurrency or money-making schemes.
March 24, 2022 -
476SingaporeSingapore’s Insurers Gets New Culture and Conduct Guidance
Two new papers have been published to help Singapore's insurance industry in elevating their culture and conduct standards.
March 23, 2022 -
738Australia & NZAustralia Opens Consultation on Regulatory Regime for Crypto
The consultation proposes minimum standards of conduct, AML compliance obligations, and fit and proper requirements for directors and key persons.
March 22, 2022 -
348Australia & NZNZ FMA to Publish Revised Conduct Guide for Consultation Soon
The conduct guide sets out principles that financial services providers should apply when they are designing products or delivering services to the public.
March 18, 2022 -
460ESG / SustainabilityHKEX Listing Committee Outlines Policy Agenda for 2022
HKEX will review the IPO eligibility requirements for technology firms, optimise the IPO price discovery process, and enhance ESG standards and climate disclosures.
March 16, 2022 -
690Australia & NZProsecutors Drop Criminal Cartel Case Against Citi, Deutsche
Australia's top prosecutor concluded that there were no longer reasonable prospects of convicting Citigroup, Deutsche Bank and four former executives.
February 14, 2022
