Archives for: ‘Asia Pacific’

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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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Success at any cost? Corporate dividends and the proceeds of crime

This article was co-written by Ian Hargreaves (Head of Investigations, Fraud and Compliance) and Daniel Burbeary (managing associate). The article …

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