All posts tagged "enforcement"
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122EnforcementSEBI Targets Insider Trading with Informant Reward Mechanism
Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.
August 22, 2019 -
250Australia & NZASIC to Initiate Legal Proceedings Against Banks Within “Weeks”
In addition to the 13 referrals from the royal commission, ASIC has been investigating “three times as many” case studies with a view to initiating legal proceedings in the new few weeks.
August 21, 2019 -
338EnforcementSGX RegCo to Boost Regulatory Presence, Oversight
At a regulatory briefing on Wednesday, SGX RegCo CEO Tan Boon Gin laid out the work ahead to enhance investor confidence and deter wrongdoing.
August 8, 2019 -
243Australia & NZRBNZ Consults on New Regulatory Regime for FMIs
The RBNZ is consulting on a draft bill that sets out New Zealand's new regulatory regime for financial market infrastructures.
August 7, 2019 -
387Australia & NZFMA to Open Applications for New Adviser Licences in November
Announced last month, the new licensing regime will require financial advisers to operate under a new transitional licence from June 2020.
July 26, 2019 -
530Australia & NZ
New Zealand FMA Sets Out Key Focus Areas, Strategic Objectives
The FMA is prioritising governance, culture, systems and controls, as well as mechanisms to deter misconduct and facilitate informed decision-making by investors and customers.
July 24, 2019 -
579Asia-PacificThailand to Mandate Extra Reporting Rule for Digital Asset Trades
Digital asset exchanges will have to report all trades exceeding 5 million baht to commercial banks, which will then report the transactions to the Thailand's Anti-Money Laundering Office.
July 19, 2019 -
455EnforcementS. Korea Forms Special Unit to Investigate Unfair Trading
The squad comprises 16 special judicial police officers, one FSC public official and 15 FSS employees, tasked with handling unfair trading cases under the command of Seoul prosecutors.
July 19, 2019 -
554Australia & NZAPRA Set for Dramatic Overhaul in Response to Capability Review
Among the review's recommendations are proposed veto powers to prevent the appointment or reappointment of "inappropriate" directors and senior executives at regulated entities.
July 18, 2019 -
684EnforcementSFC Warns Against Misconduct Involving Acquisitions, Disposals
Directors of listed companies have a duty to exercise due and reasonable care, skill and diligence when evaluating or approving the acquisition or disposal of a company or business.
July 6, 2019
