MAS bans four for fraudulent and dishonest conduct
Chris Hamblin, 11 October 2019
The Monetary Authority of Singapore has issued prohibition orders against four former financial advisors for fraudulent and dishonest conduct.
The Monetary Authority of Singapore has issued prohibition orders against four former financial advisors for fraudulent and dishonest conduct.
In 2009-13, according to the US Securities and Exchange Commission, Barclays plc's businesses in the Asia Pacific region improperly provided valuable employment to the relatives and friends of government officials and executives of Barclays’ non-governmental clients in the form of work experience, internships and permanent positions.
Hong Kong firms that manage virtual asset funds on behalf of HNW customers are now subject to a new set of rules, issued by the Securities and Futures Commission.
The US Securities and Exchange Commission has ordered many firms to pay penalties for not giving investors the right information when helping them select mutual fund share classes. This is part of a successful long-term campaign.
In 2009-13, according to the US Securities and Exchange Commission, Barclays plc's businesses in the Asia Pacific region improperly provided valuable employment to the relatives and friends of government officia...
Hong Kong firms that manage virtual asset funds on behalf of HNW customers are now subject to a new set of rules, issued by the Securities and Futures Commission. ...
The US Securities and Exchange Commission has ordered many firms to pay penalties for not giving investors the right information when helping them select mutual fund share classes. This is part of a successful l...
In this article Compliance Matters speaks to Howard Taylor, a senior regulatory and compliance consultant who works for Capco, the technology and management consultancy, about various topical subjects in the wea...
Open-ended funds that invest in inherently illiquid assets can encounter problems if too many investors try to withdraw their money at short notice at any one time. This happened when the United Kingdom voted fo...
The Monetary Authority of Singapore has issued prohibition orders against four former financial advisors for fraudulent and dishonest conduct....
The Belgian Financial Services and Markets Authority is warning investors to be wary of Kuvera Global, which irregularly offers investment services in Belgium....
A federal court judge in the US has passed final judgment against Lek Securities, a New York brokerage, and its CEO Sam Lek. The Securities and Exchange Commission had charged both parties with facilitating mani...
Thailand's council of ministers has approved a draft regulation to change the country's anti-money-laundering law in the wake of the Asia Pacific Group's mutual evaluation report of 2017. ...
The Hong Kong Monetary Authority has issued an edict in accordance with rule 37(3) of the Banking (Exposure Limits) Rules, which deals with 'premises in whole treated as being used for conducting banking busine...