All posts tagged "marketing"
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566EnforcementMalaysia SRO Reprimands Two Unit Trust Consultants for Misconduct
The two consultants allegedly schemed a plot to market, distribute and sell unit trust funds while they served as registered consultants of different entities.
October 23, 2020 -
543Asia-PacificBSP Approves Sale of Unit Investment Trust Funds via Third Parties
New rule amendments allow trust corporations to offer their investment products through third-party distributors, including individual and institutional agents.
September 27, 2020 -
616EnforcementFSS Prompts JP Morgan Securities Seoul to Enhance Internal Controls
South Korea's FSS has reportedly instructed the Seoul branch of JP Morgan Securities to strengthen its internal controls on inter-subsidiary relations.
April 22, 2020 -
761Fintech / RegtechIOSCO Highlights Debt Market Concerns in Annual Work Programme
The 2020 work programme provides an update on five existing priorities and an overview of planned work on a new priority - corporate debt and leveraged loans.
January 31, 2020 -
434ChinaCBIRC Orders Self-Inspections to Correct Consumer Harm
Banks and insurance companies are required to carry out self-inspections to detect and correct practices that infringe on the rights of consumers by 30 November.
October 11, 2019 -
579EnforcementUPDATED – Woori, KEB Hana Likely to Compensate Investors in Risky Products
The FSS is outlining compensation guidelines and initiating dispute mediation proceedings for investors who lost money in derivative-linked funds.
September 23, 2019 -
556Fintech / RegtechKorea FSC to Use Technology to Deter Misleading Marketing
The FSC wants to ensure consumers are protected as financial services become more accessible through digital platforms through the introduction of open banking.
April 19, 2019
