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Comment and Analysis

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Technology

Recent regulatory developments in reporting and AI

In this article we look at BearingPoint's predictions for the evolution of regulatory technology and the Financial Conduct Authority's latest evaluations of artificial intelligence or AI. ...

Latest News

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Fines and Punishment

SFC bans Pang Hon Pan for 21 months

The Securities and Futures Commission of Hong Kong has banned Mr Pang Hon Pan, a former private banking relationship manager of Standard Chartered Bank (Hong Kong) Ltd and a former senior relationship manager at...

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Fines and Punishment

SFC bans Chan Shun King for 24 months

The Securities and Futures Commission of Hong Kong has banned Ms Chan Shun King, a former account executive of Sun Hung Kai Investment Services, from re-entering the financial sector for 24 months because she br...

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Technology

FCA backtracks on Lanistar consumer warning

The UK's Financial Conduct Authority received some consumer reports this month and consequently issued a warning to consumers against Lanistar on Wednesday 18th November. It has now reversed this....

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Fines and Punishment

Stumpf of Wells Fargo to pay SEC US$2.5 million penalty

The US Securities and Exchange Commission has fined John Stumpf, 66, the former chairman and CEO of Wells Fargo & Co, for signing and certifying misleading statements to the investing public that misstated a key...