MyComplianceOffice Blog

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”.

The 2024 Surveillance Benchmarking Survey & Report from 1LoD, co-sponsored by MCO, contains insights from thousands of conversations with surveillance leaders across the financial services industry. 

As the report points out, compliance surveillance is a never-ending story. Surveillance for market abuse and employee misconduct will never be done. It’s an iterative and ongoing process. 

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. 

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.

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.