All posts tagged "enforcement"
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Hong Kong
HK SFC Warns on ‘Phantom’ Brokerages
Executive director for intermediaries says regulator will sanction or ban dormant firms.
May 8, 2017 -
Capital / Liquidity
HKMA Issues Annual Report
Complaints against AIs up 9%, 1,729 cases completed; central bank warns on liquidity risk.
May 4, 2017 -
AML / KYC
IOSCO Enhances Cross-Border Enforcement Cooperation
New powers enable members to share and obtain audit work, internet records and phone records.
April 3, 2017 -
Australia & NZ
ASIC Issues 2H16 Enforcement Report
Regulator cites tackling ‘ailing confidence in market based system’ as a priority.
March 8, 2017 -
Hong Kong
SFC Revokes Securities Firm License for ‘Egregious Conduct’
Officers banned from the industry for using client money for personal use.
December 16, 2016 -
AML / KYC
HK SFC Fined Firms $3.33mn in 1H16
Disciplinary actions up 67%; civil proceedings rise 23%; completed investigations increase by 24%.
December 9, 2016 -
Jurisdictions
Singapore Parliament Considers Boost to MAS Powers
Amended bill would give more powers to the financial regulator, enhance regulatory safeguards.
November 8, 2016 -
AML / KYC
Continuous Disclosure Tops ASIC’s Enforcement List
33 percent of ASIC market integrity enforcements addressed listed firms' disclosure burden.
August 10, 2016 -
Hong Kong
SFC Appoints New Head of Enforcement
Thomas Atkinson to move from Ontario Securities Commission on 3-year term.
March 24, 2016 -
China
China Cracks Down on Illegal Reduction of Holdings
The China Securities Regulatory Commission has held a two-day hearing for 11 cases involving shareholders illegally reducing their stockholdings.
October 13, 2015
