Category Archive for: ‘Regulatory action’

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China “nudes-for-loans” scandal gives new meaning to “predatory lending”

Low value, personal loans have often been the subject of regulatory enquiry.  Whether it be high interest rates, unclear disclosures …

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Bank shutdown – the new frontier of AML/CTF regulation

The Money Authority of Singapore’s recent announcement that it intends to withdraw BSI Bank Limited’s licence highlights the potentially severe …

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SFC suspensions put new communication technologies under the spotlight

Two recent disciplinary actions taken by Hong Kong’s Securities and Futures Commission (“SFC”) emphasise the importance of effective employee monitoring …

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Favourable investment research report = not-so-favourable results

Favourable research report ends in prison and ban from the financial services industry for ex-research head. On 25 February 2015 …

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FIFA scandal – lessons for Hong Kong financial institutions

The 2015 FIFA scandal and associated arrests and downfall of key FIFA officials, are not only sporting issues. They highlight …

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