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RegTech Adoption is the Way Forward for Better Compliance

I recently had the privilege of speaking on the sessionRegTech Adoption – The Way Forward at the 2022 ASIFMA Compliance Asia Conference as part of a panel of industry experts. The conference featured three half-days of info-packed sessions that covered the latest compliance issues and emerging regulatory trends. 

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Hong Kong’s Regulator Fines Asian Bank Over Stock Trading Misconduct

In January 2022, Hong Kong’s financial-markets regulator fined a large Asian Bank HK$348.25m ($44.7m) for misconduct on some of the bank’s equities-trading desks between 2008 and 2018. The regulator concluded that the bank was using deceptive practices to increase its market share and business, in addition to breaking the trust of clients.

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What’s Changed for Large Firms Around Conduct Oversight?

The rise of the Omicron variant has seen many large financial services firms postponing return to office plans. With remote and hybrid employees now the norm, the pandemic has already changed the way large financial services firms work.

What has this meant for conduct oversight?

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The UK’s biggest ever Insider Trading Case Reaches a Verdict

This Monday saw two men, Martyn Dodgson and Andrew Hind found guilty of insider trading after a four month trial in what is Britain’s biggest ever insider trading case.

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Isis found trading on stock markets

Isis can now ad white collar crime to its growing list of illicit sources of income. This combined with other elaborate schemes including oil smuggling, extortion, and ransom money, is used to play the currency market. 

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