All posts tagged "Misconduct"
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177EnforcementReview Panel Offers Recommendations for Improving SFC Operations
While welcoming the SFC's front-loaded regulatory approach, the Process Review Panel says the regulator should be aware of its possible unintended effects and consider ways to minimise them.
January 17, 2020 -
449FeatureHKMA Reveals Preliminary Findings from Bank Culture Assessments
HKMA executive director Alan Au says banks generally agree with the need to foster sound bank culture and have been implementing a range of culture enhancement initiatives.
January 16, 2020 -
339Featured ArticlesVideo: Understanding MAS’ IAC Guidelines with Herbert Smith Freehills
Regulation Asia sat down with Natalie Curtis, Partner at Herbert Smith Freehills, to understand MAS' new framework on individual accountability and conduct, ahead of its formal introduction expected in early 2020.
January 13, 2020 -
1.1KAML / KYCTechnology to Drive Regulatory Agenda in 2020: Thomson Reuters
Technology has displaced the 2008 financial crisis as the main issue driving the international regulatory agenda, says a new report from Thomson Reuters.
January 9, 2020 -
283EnforcementSGX RegCo to Overhaul Enforcement Approach – Reports
SGX RegCo chief Tan Boon Gin wants stronger protections against misconduct, faster enforcement outcomes and greater clarity to be provided to the market.
December 31, 2019 -
388EnforcementFSA Orders Insurance Sales Halt at Japan Post Amid Misconduct Findings
Two Japan Post Holdings subsidiaries are required to suspend insurance product sales for three months and submit business improvement plans by end-January.
December 28, 2019 -
379Australia & NZAustralia Proposes Industry-Funded Compensation Scheme of Last Resort
The scheme will ensure that consumers and small businesses receive a payout in cases where compensation has been awarded but the financial services provider is unable to pay.
December 26, 2019 -
840AML / KYCBig Data is Transforming Investigations
Big data is rapidly changing how regulators and law enforcement conduct investigations and build cases, say Jeremy Birch, Peter Jones and Kyle Wombolt at Herbert Smith Freehills.
December 12, 2019 -
270EnforcementJapan SESC Recommends $22mn Fine for Nissan Underreporting
The fine would be Japan’s second-largest ever for false reporting on a corporate financial statement, after the 7.3 billion yen fine imposed on Toshiba in 2015.
December 11, 2019 -
424Australia & NZASIC Urges Better Conduct from Lead Managers in Mining IPOs
Among ASIC's concerns is the prevalence of conflicts of interest, whereby lead managers act for both the company and investing clients while holding direct interests and board seats in the company.
December 6, 2019
