ON-DEMAND WEBINAR
China Rise Securities Conduct Failures & Monitoring Conflicts of Interest
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.
The SFC also fined China Rise Securities Asset Management Company Limited $6.3 million for regulatory breaches and internal control failures. Short-selling, internal control deficiencies and lack of regulatory surveillance can lead senior managers and firms to similar sanctions.
Join Niall Coburn, Senior Regulatory Intelligence Expert Asia Pacific at Thomson Reuters Regulatory Intelligence and Kelly-Ann McHugh, Director Asia Pacific at MCO for a discussion and insight in how to better implement controls to detect conflicts of interest and prevent market abuse.
The agenda includes:
- Overview and Analysis of China Rise Securities Asset Management Case
- Securities & Fund Market Conduct Regulation and Enforcement in APAC
- The role and responsibilities of Senior Managers
- How firms and individuals should be protecting themselves avoiding conflicts of interest
