FMA's top risks crop up in 2015 enforcement activity

Fri, 28 Aug 2015

By Paul McBeth Aug. 28 (BusinessDesk) - The Financial Markets Authority's top seven strategic priorities were a common theme for the regulator's enforcement activity over the past year, with governance, culture and conflicted conduct the agency's biggest problem. The regulator's enforcement team was involved in 51 inquiries and investigations and 28 litigation matters in the year ended June 30, it said in its annual investigations and enforcement report. That compares to 76 inquiries and 29 litigation matters in 2014. Under governance and...

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