All posts tagged "enforcement"
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184AML / KYCSFC Calls on Industry to Report Suspected Ramp-and-dump Activity
Ramp-and-dump scams now account for about half of the market manipulation cases being investigated by the SFC. Overseas investors also being targeted.
July 27, 2021 -
253Contributed ArticleHong Kong Stock Exchange Issues Revised Enforcement Policy
Herbert Smith Freehills partners explain the implications of the Hong Kong Stock Exchange's updated policy statement on Listing Rule enforcement.
July 16, 2021 -
144FeatureSFC Sets Out Key Priorities in Annual Report
The SFC is implementing a number of projects that seek to leverage new technologies to enhance risk detection and workflow efficiency.
July 3, 2021 -
121FeatureIOSCO Proposes Sustainability-related Rules for Fund Managers
Recommendations for securities regulators cover asset manager practices, product disclosure, supervision and enforcement, terminology, and investor education.
July 2, 2021 -
91EnforcementKorea FSC Extends Optimus Suspension for Six More Months
A new fund management company is being set up to take over and manage funds previously operated by Optimus Asset Management.
June 29, 2021 -
152EnforcementSGX RegCo Set to Expand Enforcement Powers
From 1 August, SGX RegCo will be able to issue public reprimands, require issuers to comply with specified conditions, and demand director resignations.
June 25, 2021 -
141AML / KYCAustralia DTA Consults on Digital ID Expansion Plans
The consultation will facilitate the introduction of legislation to expand access to the digital identity system to private sector entities.
June 24, 2021 -
154AML / KYCNAB Contract Workers Received Little AML Training: Report
The revelation comes follows AUSTRAC's launch of a formal enforcement investigation into NAB earlier this month.
June 18, 2021 -
121Asia-PacificSri Lanka Cabinet Approves Bill to Enhance Capital Market
The bill is aimed at enhancing market regulation, improving enforcement mechanisms, and creating a more efficient capital market with better governance standards.
June 10, 2021 -
127Australia & NZAustralia to Introduce Regulatory Reforms for FMIs
The new crisis management regime will allow the RBA to manage a failure at a domestic clearing and settlement facility, supported by a AUD 5 billion standing facility.
June 10, 2021
