All posts tagged "enforcement"
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384Australia & NZASIC Reveals Sharp Increase in Investigations Involving Major FIs
As of 1 January, ASIC had 316 investigations on foot related to misconduct. Cases involving CBA, NAB, Westpac, ANZ and AMP increased 52% from 12 months earlier.
February 27, 2020 -
384Australia & NZ
APRA, ASIC Welcome Reforms on Superannuation Regulation
ASIC will be focused on conduct issues involving superannuation trustees, while APRA will be focused on prudential supervision of trustee activities.
February 17, 2020 -
408EnforcementSFC Bulletin Shows Sponsor Conduct Still Top-of-mind
The Regulatory Bulletin offers case studies illustrating the SFC’s key areas of concern and recent regulatory interventions in IPO applications and corporate transactions.
February 7, 2020 -
445EnforcementMAS Issues First Penalty for Shareholder Disclosure Breach
An investor was fined S$200,000 for failing to disclose that he had become a substantial shareholder in a Catalist-listed company, and for subsequent disclosure rule breaches.
January 20, 2020 -
283Enforcement
Review Panel Offers Recommendations for Improving SFC Operations
While welcoming the SFC's front-loaded regulatory approach, the Process Review Panel says the regulator should be aware of its possible unintended effects and consider ways to minimise them.
January 17, 2020 -
553EnforcementSGX RegCo Adopts Risk-Based Approach to Quarterly Reporting
A new risk-based approach to quarterly reporting and stronger continuous disclosure requirements will apply from 7 February. The new whistleblowing office has also been established.
January 10, 2020 -
453EnforcementSGX RegCo to Overhaul Enforcement Approach – Reports
SGX RegCo chief Tan Boon Gin wants stronger protections against misconduct, faster enforcement outcomes and greater clarity to be provided to the market.
December 31, 2019 -
296Australia & NZGovernance, Accountability in Focus in Phase Two Review of RBNZ Act
The government will progress a number of key 'in-principle' decisions of the review by enacting two separate Acts to replace the Reserve Bank of New Zealand Act 1989.
December 23, 2019 -
2.6KAsia-PacificData Privacy in Asia Pacific: A Fragmented Landscape
Asia's data privacy frameworks remain highly fragmented. But companies cannot be complacent about more onerous laws in other jurisdictions, says Sarah Pearce at international law firm Paul Hastings.
December 10, 2019 -
520EnforcementFostering Customer Trust in the Financial Industry: MAS
Regulators and FIs alike have an important part to play to build trust in the financial industry, MAS deputy managing director Ong Chong Tee said in a speech on Saturday.
November 18, 2019
