HK SFC to Bolster Enforcement of Cross-Border Insider Trading

Hong Kong’s Securities and Futures Commission (SFC) has published its consultation conclusions on proposed amendments to enforcement-related provisions of the Securities and Futures Ordinance (SFO) (Note 1).

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Data Mapping Effectively Deconstructs Compliance Obligations

Regulations, frameworks, policies and controls define the day-to-day of the Chief Compliance Officer (CCO) and their teams. It’s fair to say that it is an important yet often troublesome undertaking to make sense of what can often be described as monitoring spaghetti. At the same time, the teams also need to ensure they are keeping senior execs and the Front Office engaged and compliant.

So how can the CCO set regulatory priorities, identify policy and procedure gaps and understand compliance obligations?

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4 Conflicts of Interest Examples (and Solutions) Across APAC

A conflict of interest happens when a person with multiple interests serves one to the detriment of another. For example, an individual may seek to create personally-beneficial outcomes at the expense of fairness and competition. They may engage in activities that put the confidentiality of their firms’ information at risk or put personal financial gains ahead of their firms’, clients’, or broader financial market’s interests.

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SEC Priorities Focus on MNPI, Insider Trading and Crypto

Temperatures are hot across the United States right now – and so is U.S. Securities and Exchange Commission (SEC) enforcement activity. The last few weeks have seen a flurry of Insider Trading actions from the U.S. Securities and Exchange Commission and the Department of Justice against individuals ranging from a Chief Compliance Officer to a Chief of Police.

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A Spotlight on SGX-Listed Companies’ Regulatory Compliance

Recent enforcements by the Monetary Authority of Singapore (MAS) highlight the need for SGX-listed companies to actively work against conflicts of interest within their organisations and maintain robust corporate compliance processes.

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