The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for concealing a significant trade execution error and only reporting the incident to management and compliance 4 days later.
The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for concealing a significant trade execution error and only reporting the incident to management and compliance 4 days later.
In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love compliance officers. Read on for our top ten!
With no end in sight to the consistent and costly enforcement, are your books and records ready to stand up to regulatory scrutiny?
Firms are required to renew the FINRA and state/jurisdiction registrations of their registered reps every year, and the deadlines are coming up fast. Now’s the time to make sure that you have the right framework in place to manage your renewals on time, cost effectively, and efficiently—this year and moving forward.
Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former Associate Director of a multinational investment bank and financial services company from re-entering the city’s financial industry.
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