The latest key issues in regulation were on the agenda as FinanceAsia hosted the 5th Compliance Summit North Asia on November 17.
More than 200 industry professionals with a focus on regulator issues gathered in the ballroom of the Ritz-Carlton in West Kowloon to head from lawyers, regulators and law enforcers on a wide range of issues.
One of the key speakers was a man very much in the spotlight - Thomas Atkinson, executive director of enforcement at the Securities and Futures Commission in Hong Kong. He issued a stern warning to investment banks that they could find themselves under scrutiny over IPO sponsorships....
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