Niall Coburn

Niall Coburn is the Asia-Pacific regulatory intelligence expert for Thomson Reuters. He is a barrister and former director of enforcement at the Dubai Financial Services Authority and senior specialist adviser to ASIC. He is based in Brisbane, Australia.

In a recent speech, Ashley Alder, chief executive of the Securities and Futures Commission ("SFC"), discussed how the regulator tackles market risks across its operations. He also described a...
2017年5月5日
The Securities and Futures Commission ("SFC") has fined BOCOM International (Asia) ("BIAL") HK$15 million for failure to discharge its duty as a sponsor in relation to the attempted listing of a...
2017年3月23日
This will be a positive year for the Asia-Pacific region as it is set to benefit from the political and regulatory uncertainty in the UK, Europe and the Americas. International firms will be...
2017年2月10日
Expatriate investors in Asia have lost hundreds of millions of dollars through UK-listed life insurance companies whose offshore subsidiaries and financial adviser "agents" were neither registered...
2017年1月16日
How do we know we are winning the counter-money laundering war? Are governments measuring the effectiveness of the anti-money laundering and counter-terrorism financing ("AML/CTF") regime from a...
2016年10月27日
Enforcement agencies internationally are increasingly holding corporations criminally liable in a whole range of proceedings. An effective compliance plan is invaluable if firms are to manage risks...
2016年9月30日
The Securities and Futures Commission's ("SFC") decision to fine Morgan Stanley HongKong Securities HK$18.5 million for breaches of the Securities and Future Ordinance ("SFO") dates back to...
2016年9月2日
The special advisor to the Organisation for Economic Cooperation and Development ("OECD") has told a Thomson Reuters summit that the scandal at Unaoil was "bigger and more shocking" to him than the...
2016年7月6日
Earlier this month the Hong Kong Monetary Authority ("HKMA") published an overview of its supervisory work with authorised institutions ("AIs") selling investment products. ...
2016年4月29日
In one of the first cases of its kind, the Hong Kong Securities and Futures Appeals Tribunal ("SFAT") has affirmed the decision of the Securities and Futures Commission ("SFC") to...
2016年4月25日
There have been numerous concerns about the continued growth of shadow banking and Janet Yellen, chair of the US Federal Reserve, has conceded in several speeches that shadow banks pose "a huge...
2016年4月8日
The Hong Kong Securities and Futures Commission (SFC) recently reprimanded Unicorn Securities Company and fined it HK$3 million, suspending its former responsible officer, Chan Hoi Shu. He was...
2016年4月1日
The Securities Futures Commission ("SFC") has started proceedings in the Market Misconduct Tribunal against Mayer Holdings for failing to disclose price sensitive information in breach of the...
2016年3月22日
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