Views on the integrity of global capital markets
At the 66th CFA Institute Annual Conference held in Singapore in May, Tony Tan, CFA, head of the Standards and Financial Market Integrity division for CFA Institute in the Asia-Pacific region, interviewed Nalaka Godahewa, chairman of the SEC of Sri Lanka, on the development of the country’s capital markets. Read more
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From revisions to the corporate governance code in Germany and recommendations for corporate governance improvements in Japan to the controversy surrounding the JPMorgan shareowner meeting in the U.S., it’s time to span the corporate governance globe to review important developments from the month of May. Read more
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MassPRIM CIO touts benefits of CFA Institute Asset Manager Code of Professional Conduct to investment managers and regulators in the Asia-Pacific region. Read more
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I was at the Court of Final Appeal in Hong Kong on 30 April to witness the SFC win over Tiger Asia Management LLC in a landmark ruling. In dismissing Tiger Asia’s appeal, the court upheld the SFC’s right to seek remedial orders and injunctions in relation to the insider dealing case. Read more
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In recent times, there has been increased scrutiny of the role of financial advisers. In Singapore, this has taken the form of the Financial Advisory Industry Review recommendations. In Australia, such matters are under the purview of the Future of Financial Advice reforms while in India it falls to the Investment Advisors Regulation. Read more
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Retail investors may have been victims of another Madoff-style scam—this time with a Las Vegas-based company MRI International. There are signs that suggest the Japanese subsidiary of MRI International had sold around US $1.3 billion worth of investment products that were meant to provide income on U.S. medical fee receivables to Japanese retail investors. Read more
2 Comments From the state of corporate governance in Asia and integrated reporting globally to the United Kingdom’s launch of two new regulators in place of the Financial Services Authority (FSA), it’s time to span the corporate governance globe to review important developments from the month of April. Read more
Leave a Comment If you can’t make it in China, try Southeast Asia. This seems to be the mantra among international banks and financial firms that want a foothold in Asia’s most coveted market but are turned off by regulatory requirements or stiff competition. Read more
Leave a CommentAt the recent “Mis-selling of Financial Products: Investor Rights and Protection Forum” in Hong Kong, regulatory experts, lawyers, and investment professionals discussed the scope and limitations of recent regulations and measures, addressing investor rights and responsibilities. Read more
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