All posts tagged "Market Conduct"
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89Asia-PacificBOT Directs Banks to Halt Pressure Sales of Insurance
The BOT has instructed banks to control the quality of their insurance sale practices, saying it is ready to implement "more intense" regulatory measures.
November 23, 2021 -
181FeatureBNM Raises Expectations of Good Conduct in Wholesale Markets
The board and management must ensure good conduct culture is embedded and governance structures "inculcate fair and ethical decision making".
November 15, 2021 -
427MalaysiaSC Malaysia Launches Five Year Capital Market Masterplan
The masterplan includes measures to facilitate greater fundraising efficiency, liberalise access to foreign funds, and further develop the derivatives market.
September 22, 2021 -
289EuropeLME Proposes to Close Europe’s Last Open-outcry Trading Venue
The LME's trading ring has been used for metals trading since 1877. It's temporary closure in March due to the Covid-19 pandemic may end up being permanent.
January 22, 2021 -
223EnforcementIOSCO Issues Guidance on Addressing Misconduct During Stress Events
Extreme price volatility, profitability pressures, psychological stressors, remote working and aggressive advertising were some of the drivers of misconduct risk during the pandemic.
December 31, 2020 -
365Asia-Pacific
BOT Enhances Fair Service Rules for Banks, Asset Managers
Besides banks and their subsidiaries, the rules have been extended to cover also asset managers and nanofinance operators.
September 17, 2020 -
882Big PictureFMSB Offers Guidance on LIBOR Transition Conduct Risks
Uncertainties associated with the transition may make it harder for firms to identify how to treat their customers fairly, and to demonstrate that they have done so, the FMSB says.
June 12, 2020 -
592EnforcementMarket Conduct Committee Calls for Greater Enforcement Powers for SEBI
A committee looking at fair market conduct has proposed greater powers for SEBI to go after insider trading, including the power to intercept phone and electronic communications.
August 13, 2018 -
560Australia & NZNew Zealand Regulator Flags Market Misconduct
Report outlines enforcement actions on market manipulation against Milford Asset Management trader, investigation into trading at Goldman Sachs, other cases of misconduct.
February 22, 2018 -
713Asia-Pacific
Thailand Implements New Market Misconduct Penalty Scheme for Banks
New market conduct rules to be implemented over next few weeks; Violators can be barred from operating or fined up to 1mn baht per day.
January 20, 2018
