Webinar

In a recent letter to CEOs, the FCA talked about the importance of robust governance frameworks that allow cultures and values to drive decision-making across the business; and how critical it is for firms to be managed by effective boards with a suitable mix of skills and experience in order to conduct proper oversight of the firms' risks, strategies, policies and controls.

The Hong Kong Securities and Futures Commission (SFC) recently sanctioned a former chief executive officer of China Rise Securities Asset Management Company and suspended its head of dealing for inappropriate standards of conduct and breaching of the Code of Conduct.