All posts tagged "Misconduct"
-
696ChinaHong Kong, China Framework Comparison – Conduct and Culture
Synpulse’s Prasanna Venkatesan, Gregory Achache and Marina Mai compare China and Hong Kong's regulatory frameworks in relation to culture and conduct.
July 19, 2019 -
624FeatureMAS Raises Conduct Concerns in Financial Advisory Sector
The MAS has commenced a review of the disciplinary frameworks at financial advisory firms, with a view to eventually sharing best practices and developing further guidance.
July 15, 2019 -
798Enforcement
Singapore Convicts Three Front-Runners Under Insider Trading Laws
Two First State equity dealers told a UOB Kay Hian remisier about their firm's intended orders to front-run trades in 100 counters, leading to over S$8mn in insider trading profits over 8 years.
July 11, 2019 -
531ChinaSFC Gains Access to Mainland Audit Papers for Investigations
The MOF and CSRC agree to provide the "fullest assistance" in response to SFC requests for investigative assistance regarding the provision of audit working papers.
July 4, 2019 -
469Australia & NZStronger Whistleblower Protections Take Effect in Australia
The stronger protections for whistleblowers apply to misconduct or an improper state of affairs or circumstances, not just breaches of the law.
July 2, 2019 -
347Australia & NZNZX Has Enhanced its Surveillance Function, says FMA
The NZX improved its market surveillance function in response to last year's FMA review. It is also planning to complete a trading system upgrade next year, using NASDAQ technology.
July 1, 2019 -
482Australia & NZASIC Imposes Lifetime Ban on Former Westpac Adviser
The former adviser is said to have prioritised his own interests over those of his clients by providing inappropriate advice that maximised fees and commissions.
June 27, 2019 -
1.1KContributed Article
Singapore: Progressing the Culture and Conduct Risk Agenda
MAS is equipping itself with advanced tools that will allow for culture and conduct to be evaluated in a more systematic way, say Jeff Kupfer and Stephen Scott at Starling.
June 13, 2019 -
923FeatureFSB: Decentralisation Could Benefit Financial Stability
While decentralised financial technologies do pose risks, they may increase competition and diversity in the financial system and reduce existing entities’ systemic importance.
June 8, 2019 -
700EnforcementFinance Should be a Force for Good: MAS
Financial institutions need to build trust, inclusivity and sustainability in order to be a force for good, MAS managing director Ravi Menon said in a speech on Monday.
June 5, 2019
