Deterrence Strategies
Insider trading enforcement in Australia
Insider trading enforcement in Australia
Authors: Lei, Victor; Ramsay, Ian
Source: Law and Financial Markets Review, Volume 8, Number 3, September 2014, pp. 214-226(13)
http://dx.doi.org/10.5235/17521440.8.3.214
Originally Published:
Tuesday, September 30, 2014
Cartel Immunity/Leniency: The Truth, The Whole Truth …
Aberdeen Asset Managers and Aberdeen Fund Management fined £7.2 million for failing to protect client money
The FCA has fined Aberdeen for failing to identify and protect client money placed in money market deposits with third party banks.
Originally Published:
Tuesday, September 3, 2013
CLMR Working Paper 12-2: So foul and fair a day: the prosecution of Standard Chartered, state-federal relations and the return of Banquo’s ghost
The State Government of New York has re-emerged as a pivotal broker of financial regulation.
Originally Published:
Saturday, September 1, 2012
SEC Settlement Agreements & the Amorphous Bounds of Public Interest
SEC Releases Study on Enhancing Investment Adviser Examinations
Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.
Originally Published:
Wednesday, January 19, 2011
Financial Services Authority Consults on Raising Consumer Awareness on Depositor Protection
The Financial Services Authority has released a consultation paper to address concerns regarding low consumer awareness with regard to depositor protection.
Originally Published:
Wednesday, December 14, 2011
SFC-HKMA Jointly Introduce Mystery Shopping Programme to Monitor Selling Practices
The Securities and Futures Commission and the Hong Kong Monetary Authority jointly engaged an external service provider, the Hong Kong Productivity Council, to carry out mystery shopping exercises between July and November 2010 to look into the selling practices of intermediaries involving unlisted
Originally Published:
Monday, May 2, 2011
CPSS-IOSCO Publishes Final Report on Requirements for OTC Derivatives Data Reporting and Aggregation
The International Organisation of Securities Commissions and the Committee on Payment and Settlement Systems have published a final report on over-the-counter derivatives data that should be collected, stored and disseminated by trade repositories.
Originally Published:
Tuesday, January 17, 2012