All posts tagged "fair treatment"
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725EnforcementSFC 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 -
860Australia & 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 -
1.3KMarket 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
