News, Comment & Analysis results for Securities and Futures Commission
Merged Wealth House Eyes Opportunities In HNW Expat Market
We talk to a recently merged business, with footprints in Asia and the US, about the kind of issues
Compliance Corner: SEC
The latest compliance news: regulatory developments, punishments, guidance, permissions and new
Updated Summary Of Miscreants In Global Financial Industry
Here is an updated list of banks and other firms that have been punished for various offences, such
Former Goldmans Executive Banned Over Malaysia-Linked Bribes
One of the major characters in a global bribery and corruption scandal centered on Malaysia has
Hong Kong Punishes Soros Family Office For Naked Short-Selling
Hong Kong regulators have punished Soros Fund Management, a family office created by the tycoon,
Illinois Watchdog Becomes First US Regulator To Join R3 Blockchain Consortium
Illinois' financial regulator has jumped on the blockchain bandwagon.
Hong Kong, US Watchdogs Sign Cross-Border Regulation Agreement
The deal covers exchanges and other trading venues, market intermediaries, investment funds or
Updated Summary Of Miscreants In Global Financial Industry
Here is an updated list of those wealth management organisations fined and punished in other ways
Global Regulator Spending Up By Nearly 60 Per Cent Since Financial Crash
Financial services regulators in the US, UK and Hong Kong have increased their expenditure over the
Global Financial Hubs Ramp Up Regulation Spending Following Crisis
Global financial regulators have increased their expenditure by 59.4 per cent over the past seven
Comment & Analysis results for Securities and Futures Commission
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