Posts Tagged “China”
Exclusive: Risk ranking: China revamps anti-money laundering rules
by The Compliance Exchange on April 18, 2013
Chinese banks must rate their clients’ risk of criminal conduct on a scale of 1-5 as part of the central bank’s moves to curb money laundering and fraudulent transactions estimated at hundreds of billions of dollars a year.
Mary Schapiro Still Cross About China IPOs as She Leaves the SEC
by The Compliance Exchange on January 10, 2013
Mary Schapiro, who just stepped down as chair of the US Securities and Exchange Commission, devoted one of her last interviews in the job to complaining about China.
China’s Art Bonanza Dishing Up Fool’s Gold?
by The Compliance Exchange on September 5, 2012
If dead men don’t tell tales, they certainly don’t sell medals awarded to them over 80 years ago.
SEC Charges China Firm With Falsifying Earnings
by The Compliance Exchange on September 5, 2012
The U.S. Securities and Exchange Commission charged China Sky One Medical Inc. with falsely inflating its earnings
Compliance News 7/6/2012: A Chinatown Gambling Ring Wasn’t What It Appeared
by The Compliance Exchange on July 6, 2012
Today’s top stories include FSA’s Policing of Libor Is Under Fire, Japan Accelerates Insider Trading Probe, and SEC to Miss Jobs Act Rulemaking Deadline.
CompliancEX News 6/22/2012: Italians Dodge Property Tax
by The Compliance Exchange on June 22, 2012
Liquidnet Says SEC Investigating Dark-Pool Disclosures & more compliance news for the day
SEC Probes Hit A Wall In Uncooperative China
by The Compliance Exchange on June 12, 2012
It appears to be dawning on officials at the U.S. Securities and Exchange Commission (SEC) that cooperative, cross-border financial investigations are completely foreign to China.
Dewey’s White-Collar Head Departs, Dodd-Frank Swaps Legislation Delayed, China Flexes Its Regulatory Muscle: CompliancEX News 5/16/2012
by The Compliance Exchange on May 16, 2012
Chris Clark, Dewey’s White-Collar Head, Leaves for Latham, Dodd-Frank Swaps Legislation Delayed After JPMorgan Trade Losses, and more top Compliance stories.
JPMorgan Hearings Coming, Fired Citadel Programmer Indicted, SEC Sues China Natural Gas Chairman: CompliancEX News Roundup 5/15/2012
by The Compliance Exchange on May 15, 2012
How Bank Handles Bad Bet, JPMorgan Hearings Coming, Fired Citadel Programmer Indicted, Senator Presses SEC Over Decision, SEC Sues China Natural Gas Chairman, Habib Bank Fined $844,000
