All posts tagged "conflict of interest"
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445EnforcementICAC Charges Ex-HKEX Official for Bribery, Misconduct
A former joint-head of HKEX's IPO Vetting Team has been charged over HK$9.15mn in bribes and misconduct in public office between June 2017 and April 2019.
March 26, 2020 -
1.1KCapital Regulation25 Years Since Barings Collapse: What Has Changed?
Peter Guy explores whether regulation, compliance and financial technology have improved risk management in the 25 years since Barings Bank's spectacular crash.
March 10, 2020 -
500Australia & NZAustralia Passes Bills to Enhance Consumer Protections, Strengthen ASIC
The bills introduce a best-interests duty for mortgage brokers, ban unfair contract terms in insurance, and enable ASIC to more effectively enforce existing laws.
February 10, 2020 -
416Capital RegulationFurther Volcker Rule Easing Proposed, Despite Dissenting Voices
The proposed revisions seek to relax the Volcker Rule's general prohibition on banks investing in hedge funds, private equity funds and credit funds.
February 1, 2020 -
249Asia-PacificBSP Relaxes Requirements on Issuance of Debt Instruments
Related companies of issuing banks are allowed to underwrite or arrange LTNCTDs, bonds and commercial papers, subject to certain conditions.
December 3, 2019 -
623Fintech / RegtechTaiwan FSC Clarifies Rules on Virtual Bank Boards
Banks cannot have executives or board members serving concurrently as directors or supervisors at the virtual banks in which they are invested.
September 13, 2019 -
304IndiaRBI Tightens Criteria for Board Appointments at State Banks
The revised criteria for determining the 'fit and proper' status of proposed candidates include age, education, experience, and track record, among other criteria.
August 5, 2019 -
957EnforcementSFC Fines Credit Suisse $2.8m over Research Reports
Credit Suisse has been fined $2.8m for failing to disclose investment banking relationships and market making activities in research reports on Hong Kong-listed securities.
June 20, 2019 -
1.9KEnforcementSFC Warns Brokers, Traders on Client Facilitation Conduct
The SFC has found brokers that are failing to comply with the expected standards on client facilitation, and plans to take action against both individuals and firms.
May 17, 2019 -
676Australia & NZAustralian Regulators Under Scrutiny for Accepting Industry Gifts
ASIC was reportedly found to have accepted expensive gifts and hospitality from financial firms including Macquarie Bank even as it was under multiple investigations by the corporate regulator.
January 23, 2019
