All posts tagged "Investigation"
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117ChinaEx-Shanghai Clearing House Chief Charged With Corruption
Xu Zhen was charged with corruption and bribery for violating rules on executive pay to benefit himself and those close to him.
April 8, 2021 -
557ChinaCSRC Optimises Rules on Administrative Reconciliation
The revisions will help to ensure investors are compensated for losses in a timely manner and market order is restored as soon as possible, the CSRC says.
August 14, 2020 -
457EnforcementHigh-level Panel Proposes Overhaul of SEBI Enforcement Mechanism
The panel says intermediary regulations need to be amended to speed up enforcement action, and that SEBI should be granted the authority to seize assets subject to investigation.
June 18, 2020 -
728EnforcementHK Court Upholds SFC Power to Access Digital Devices in Investigations
The SFC is empowered to access to email accounts and personal digital devices which may contain information relevant to its investigations, the court said.
February 19, 2020 -
322ChinaCBIRC Inner Mongolia Official Under Corruption Probe
The case reportedly relates to the official's supervision of Baoshang Bank which was taken over by regulators in May due to "serious credit risks".
December 28, 2019 -
551EnforcementSEBI Targets Insider Trading with Informant Reward Mechanism
Whistleblowers will be eligible for rewards up to $139,000 and, if culpable themselves, for amnesty or settlement with SEBI.
August 22, 2019 -
753ChinaHong Kong, China Agree to Cooperate on Audit Regulation
Hong Kong's Financial Reporting Council will be able to access audit papers located in the mainland "through an effective mechanism and clear procedures".
May 28, 2019 -
863AML / KYCBangladesh FIs Report Suspicious Activity at Record Levels
The increase in suspicious activity reported is an indication of the financial industry's commitment to fighting money laundering and terrorism financing.
May 22, 2019 -
829AML / KYCWolfsberg Group Endorses APAC Toolkit for Tackling Human Trafficking
The Wolfsberg Group has endorsed the latest Anti Human Trafficking Toolkit from the Thomson Reuters Foundation, tailored for use in Asia Pacific by banks and financial institutions.
April 26, 2019 -
431Australia & NZAustralia Toughens Criminal, Civil Penalties for Misconduct
Criminal offences can result in 10 years imprisonment or $725,000 for individuals; or the larger of $7.25 million, 3 times the benefits, or 10% of annual turnover for companies.
April 23, 2018
