10/30/2024
In light of the SFC's intensified focus on compliance and enforcement, it is imperative for asset managers to reassess and reinforce their policies, procedures and operational practices.
10/29/2024
It will be no surprise to practitioners that the survey responses recorded a stark increase in the number of reported cases of non-financial misconduct with incidents up from 1,363 in 2021 to 2,347 in 2023.
10/28/2024
On 21 August, ESMA published finalised guidelines regulating the use of environmental, social, and governance (ESG)-related and sustainability-related terms in fund names.
10/28/2024
The survey, which gathered data from over 1,000 investment banks, brokers, and wholesale insurance firms, highlights significant trends and areas for improvement in workplace culture and conduct.