All posts tagged "Karen Chang"
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274Australia & NZNZ FMA Expects Proactive Self-reporting of Misconduct Issues
The minimum expectation for good conduct risk management is for firms to self-report potential breaches to the FMA, said acting general counsel Karen Chang.
November 9, 2021 -
429AML / KYCNZ Court Fines CLSA Premium NZ for AML/CFT Breaches
The court said CDD requirements were clearly subordinated to the continuation of CLSA Premium NZ's relationship with high net worth customers.
September 14, 2021 -
193Australia & NZ
FMA Files Suit Against Company Director Over Online Posts
The CEO of NZX-listed New Talisman Gold Mines made false and misleading representations in an online investor forum without disclosing his involvement with the company.
August 16, 2021 -
418Australia & NZNZ Court Fines ANZ Over Credit Card Repayment Insurance
The judge said ANZ should have been "sufficiently robust" in its ability to detect issues early, given its size, resources and position in New Zealand’s market.
March 13, 2021
