Insider trading enforcement in Australia Authors: Lei, Victor; Ramsay, Ian Source: Law and Financial Markets Review, Volume 8, Number 3, September 2014, pp. 214-226(13) http://dx.doi.org/10.5235/17521440.8.3.214

The FCA has fined Aberdeen for failing to identify and protect client money placed in money market deposits with third party banks.

The State Government of New York has re-emerged as a pivotal broker of financial regulation.

Section 914 of The Dodd-Frank Wall Street Reform and Consumer Protection Act 2010 mandates that the Securities and Exchange Commission conduct a study to review and analyze the need for enhanced examination and enforcement resources for investment advisers.

The Financial Services Authority has released a consultation paper to address concerns regarding low consumer awareness with regard to depositor protection.

The Securities and Futures Commission and the Hong Kong Monetary Authority jointly engaged an external service provider, the Hong Kong Productivity Council, to carry out mystery shopping exercises between July and November 2010 to look into the selling practices of intermediaries involving unlisted

The International Organisation of Securities Commissions and the Committee on Payment and Settlement Systems have published a final report on over-the-counter derivatives data that should be collected, stored and disseminated by trade repositories.