All posts tagged "fair treatment"
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317Australia & NZASIC Issues Guidance on Managing LIBOR-related Conduct Risk
The new guidance is aimed at assisting entities in establishing necessary arrangements to mitigate conduct risk associated with the discontinuation of LIBOR.
December 1, 2020 -
830Hong KongHKMA Warns of Risks in Leveraged Investment Products
Banks should take into account Covid-19 in product due diligence and client suitability assessments, and exercise caution when dealing in leveraged products.
August 10, 2020 -
815EnforcementSFC Fines China Rise for Short Selling, Cross Trading Breaches
China Rise's former CEO placed 199 illegal short selling orders in 2014, and an unnamed senior manager executed cross trades at a price detrimental to the client.
November 1, 2019 -
929Australia & NZNew Zealand to Introduce New Conduct Oversight Regime
New legislation to implement the regime is expected by year-end, empowering the FMA with stronger enforcement tools and the ability to impose higher penalties for conduct breaches.
September 27, 2019 -
1.5KMarket InfrastructureMAS, ABS Form Culture and Conduct Steering Group
The steering group will identify best practices, monitor trends and emerging issues, and collaborate on initiatives to promote strong culture and conduct.
May 23, 2019
