Unpacking the SFC’s New Market Sounding Guidelines The Hong Kong Securities and Futures Commission (SFC) has released new guidelines for market... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Unpacking APRA and ASIC’s Observations of FAR Implementations The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments... READ MORE
Staying Ahead of Regulatory Change in eComms Surveillance Regulators around the globe are taking a firm stance against off-channel communications. In the US,... READ MORE
Addressing Compliance Within Financial Firms’ CPD Requirements The financial services industry brings substantial responsibilities for those working within it,... READ MORE
SFC Issues 6-Month Ban for Fit and Proper Requirements Failure The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for... READ MORE
Hong Kong’s SFC Imposes Life Ban on Former Associate Director Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former... READ MORE
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
