Page 163 - 《期货和衍生品行业监管动态》（2022年合集）

期货和衍生品行业监管动态

● MAS continued to engage the industry on efforts to identify
potential mis-selling and other misconduct early by using data analytics to

detect red flags.

Major ongoing case updates–

● A new section in the report provides status updates on selected

major cases that are under investigation. Through such updates, MAS aims to

provide greater transparency regarding on-going efforts to pursue complex

and high-profile cases.

● MAS has also elaborated on its considerations in disclosing

information regarding ongoing investigations. MAS will balance the public’s

interest in obtaining information against the need to protect the integrity of

investigations and any pending court proceedings.

MAS’ enforcement priorities for 2022 and 2023 include:

● enhancing effectiveness in pursuing breaches of corporate disclosure

requirements, including through close collaboration with key regulatory and

enforcement partners;

● stepping up focus on corporate finance advisory firms and fund

management companies that fail to comply with business conduct

requirements;

● studying options for enhancing investors’ recourse for losses due to

securities market misconduct;

● strengthening focus on holding senior managers accountable for

breaches by their FIs or subordinates.

Ms Peggy Pao, Executive Director (Enforcement), MAS said “MAS has
continued to take robust enforcement actions against errant firms and individuals so as

to safeguard the integrity of our financial sector. We have also proposed legislative

changes to enhance our effectiveness in addressing financial misconduct. We will

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