Daily Archives: May 4, 2016, 12:10 pm

Vanguard Stumbles (Again)

A month ago, I wrote a Compliance Week column about Vanguard’s disquieting cybersecurity stumble in February, and its ill-fated state of denial. Well, Vanguard is in the news again and it looks like they are making the same mistakes they always have…. via Vanguard Stumbles (Again)

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Hong Kong SFC bans individual for conduct relating to unregulated activities — Allen & Overy

On 24 March 2016, the Hong Kong Securities and Futures Commission (SFC) announced that it had taken disciplinary action against Mr Yuen Siu Lun by banning him from the securities industry for seven years. The disciplinary action is notable as a rare example of the SFC looking at a person’s conduct outside of a regulated activity when considering fitness and…

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