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

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Niall Coburn
Regulatory Intelligence Expert for the Asia Pacific region for Thomson Reuters

Niall Coburn is the regulatory intelligence expert for the Asia Pacific region for Thomson Reuters. He was a Senior Specialist Adviser to the Australian Securities & Investments Commission (ASIC) and Director of Enforcement for the Dubai Financial Services Authority (DFSA). Niall was part of an international team that wrote the regulatory and financial market laws and rules for the Dubai International Financial Centre.

Niall is a Barrister of the High Court of Australia and has over twenty years experience in financial markets and international regulation. In 2002, he was awarded an ASIC Australia Day Honour Medal for his work in corporate investigations.

He has worked in Europe, Middle East and Asia with financial institutions, liaising with international regulatory bodies and government agencies. Niall has published extensively on compliance and financial regulation internationally and written a book on corporate investigations published by Thomson Reuters, and has been a commentator in the Australian Financial Review on financial regulation and compliance.