Regulatory Insights

  • ComplianceAsia Regulatory Update – Licensed Representative Banned for 12 months for Personal Account Dealing Breaches (October 2020)

    On 29 October 2020, the Securities and Futures Commission (SFC) announced that it had suspended the Type 1 license of a licensed representative of Mason Securities Limited (MSL), following their failure to notify MSL of their personal external brokerage account and related trading activities.

    For our full update on this, please click here.