MyComplianceOffice Blog

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.

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.

APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central theme of “superannuation funds as investors of members’ money”.

A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has been sentenced to 12 years imprisonment with parole eligibility after six years, including the 977 days of pre-sentence custody declared as time already served.

The Australian Federal Court recently issued a staggering $1.25 million penalty against a wholesale licensee.