RHB failed to conduct proper due diligence on an ACE Market listing applicant and to ensure submissions to Bursa Malaysia were complete and accurate.
September 15, 2023The revisions will help to build investor confidence and better align corporate governance practices in Sri Lanka with international standards.
September 12, 2023Uni-President Investment Consulting was fined and its general manager suspended because she discussed stock analysis on TV without an analyst licence.
September 7, 2023Two Lotte Card employees conspired to help a subcontractor win a deal and then the three shared in the proceeds.
August 30, 2023HSBC no longer has to provide progress reports on its efforts to improve internal controls or manage risks in connection with its FX trading activities.
August 28, 20233M’s Chinese subsidiary paid nearly $1mn to fund at least 24 trips for Chinese government officials that included tourism activities.
August 28, 2023This is the first-ever fine issued in the UK for failures to record and retain electronic communications relating to energy market trades.
August 24, 2023The internal control analysis team is a response to multiple cases of misconduct by employees at BNK Kyongnam Bank.
August 24, 2023Bank presidents asked to inspect their institutions' internal control systems, and to do more to contain rising levels of household indebtedness.
August 21, 2023CTBC Financial was regularly inviting a major shareholder to attend group meetings and executive dinners, though he was not an authorised person.
August 15, 2023