Regulation
SFC fines Hang Seng Bank HK$66.4m for mis-selling investment products
They did not adequately supervise and monitor the sale of collective investment schemes to clients
Regulation | 29 Jan 25
FCA issues ‘first ever’ fine for transaction reporting failures under MiFIR
It needed to receive complete, accurate and timely transaction reports
Regulation | 20 Jan 25
IHT tax on pensions must ‘loosen’ where lump sums are not for estate management
Broadstone consultancy agrees pensions should be used for income rather than wealth transfer
Middle East | 17 Jan 25
Dubai FSA launches whistleblowing thematic review
The report outlines eight key themes and findings
HK’s SFC bans ex-Standard Chartered Bank specialist for life
He is currently not registered with the Hong Kong Monetary Authority or licensed by the SFC