Behavox Blog

Hong Kong experiences rising tide of executive accountability

Feb 19, 2018 9:40:44 AM / by Behavox Regulatory Intelligence posted in compliance, hong kong, senior managers regime

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Hong Kong’s asset managers face heightened scrutiny later this year when the new Fund Manager Code of Conduct (FMCC) comes into force, and while the new rules are a necessary step in enhancing the region’s market integrity, the task ahead could be arduous for some.

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#FinanceToo - denial is not a solution to behavioral trait that must be exposed

Feb 8, 2018 10:10:07 AM / by Behavox Regulatory Intelligence posted in enforcement, compliance, senior managers regime

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Sexual harassment allegations have dominated headlines over the last six months with fresh controversies and misconduct cases emerging almost daily, and now the fallout is making its way from the gossip pages to the boardroom as concerns of impact on bottom line rise up the corporate agenda.

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Jail time for market abuse becoming the standard

Jan 23, 2018 9:45:10 AM / by Behavox Regulatory Intelligence posted in market abuse, singapore, monetary authority of singapore, senior managers regime

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Singapore has jailed its second individual for market manipulation in a year, signaling an increasingly hardline approach to enforcement and sending a message that the need for better compliance defenses has never been greater.

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