The Securities and Futures Commission (SFC), which yesterday published its latest issue of ‘Enforcement Reporter’, will focus on intermediary misconduct, money laundering and mis-selling as enforcement priorities for 2018. “Intermediary misconduct is always on our radar and we adopt a holistic enforcement approach, focusing on failings which pose systemic risks,” the regulator stated in the report, which also outlined recent…
SFC lists intermediary misconduct and money laundering as enforcement priorities in 2018
27 February 2018

Share article
Share article
Related News

Eastspring appoints head of intermediary sales for Asia
21 July 2022

HNWIs like the institutional way of managing money: PGIM CEO
14 July 2022

T. Rowe Price adds regional head of intermediary from Eastspring
13 July 2022

CIO Weekly – Return to Asia equities and IG bonds in 2H22: Tai Hui of J.P. Morgan AM
30 June 2022

APB marks 2021 Awards for Distinction with gala dinner
30 June 2022

HSBC GPB North Asia heavyweight resigns
2 June 2022

Major Fed rate hike: Where three money managers are putting their money
5 May 2022

Asia-Pacific accounts for bulk of net new money: Claudio de Sanctis of Deutsche Bank IPB
19 April 2022

“Money doesn’t lie”: Raffles founder on Hong Kong’s future as a family office hub
28 March 2022