Managing market misconduct in the new norm

Managing market abuse in the new norm – an update for firms in Asia

Regulators’ focus on market misconduct is showing no sign of letting up. And, as markets have evolved, regulators are keeping pace by growing their capabilities to detect more complex behaviours such as spoofing, layering and cornering.

Fines continue to be issued for market misconduct offences and control failings, even in cases where no market abuse was discovered.

After an unprecedented year in 2020, had anything changed in terms of the regulators’ expectations? Are you still on top of your market misconduct risks?

Our webinar looked at market misconduct trends in Hong Kong and Singapore, covering:

  • Recent fines and enforcement cases across Hong Kong and Singapore, and key lessons learned
  • Hong Kong trends – including the increasing SFC focus on IPO misconduct and proposed new rules on DCM and ECM
  • Singapore trends – including MAS’ increasing focus on market misconduct risk assessments
  • Good practice in designing market misconduct control frameworks

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