ASIC's report, in alignment with a report from IOSCO, offers better practices to manage conflicts of interest and conduct risks in debt capital market transactions.
September 24, 2020The SFC found deficiencies relating to two-factor authentication, data encryption, session timeout, monitoring and surveillance, among other areas.
September 24, 2020ASIC has identified 14 funds using the term 'cash' in their names in a confusing and inappropriate way, and 3 others with a significant liquidity mismatch.
September 23, 2020Grace Chong and Si Rong Low at Simmons & Simmons JWS detail the key points of MAS’ final guidelines on individual accountability and conduct.
September 11, 2020The guidelines cover requirements relating to monitoring, surveillance systems and the filing of suspicious transaction and order reports under the EU's Market Abuse Regulation.
September 10, 2020The proceedings relate to violations identified by a FINMA-appointed auditor in relation to Credit Suisse's observation and security activities, and how these activities are documented and controlled.
September 6, 2020Credit Suisse did not match client orders for on-market buy-backs on an order book as is required by ASIC's market integrity rules.
July 6, 2020The FICC Markets Standards Board sets out 10 Good Practice Statements for market participants and venue operators engaged in algorithmic trading in a new transparency draft.
June 25, 2020Investment funds were falsely being promoted as having little or no risk of capital loss, where higher returns were highlighted without adequate disclosures of risk.
June 17, 2020Vietnam’s banking sector must take radical steps to adopt international capital rules, reporting requirements and trading practices, says Francois Denimal at FIS.
June 9, 2020