The information you need at your fingertips.
Spend less time searching
for disparate information. Spend more time on your strategy.
We want to confine laborious
and tedious searching of enforcement issues to the history books. We have consolidated
enforcement decisions by regulators in Hong Kong and Singapore into one easy searchable and
tagged database to give you ease of access to critical data. Our links will provide you with
access to appropriate laws* and regulatory guidances/circulars issued by the regulators (in
respect of that particular enforcement), to watch lists and cold shoulder orders. We will save
you time and resources when searching and dissecting locating this required information.
This hub is designed to give compliance professionals, traders, sales personnel, operations
and other support functions a user experience they deserve when searching for critical data. It may also be
used by consultant sand legal firms supporting the Financial services sector and Listed
Companies.
The Enforcement Database goes hand in hand with today’s global trading environment. Users
at regulated or licensed entities operating in more than one jurisdiction will find it easier to understand
the nuances of each jurisdiction, and such awareness of their differences (or similarity) will lead to
better clarity when coming up with local policies based on the entity’s own internal regional or global
policy requirements. You can understand what actions mitigate or provoke a stronger sanction. Uses include:
The first release covers Enforcement Notices from Singapore and Hong Kong regulators. The
database includes data from SGX from 2002, MAS from 2014, HKMA from 2007, SFC from 2010 and HKEX from
2010.
* Links to legislations and rules are to the latest version of the requirements. Please
refer to the version controls in the relevant websites if you need the version that was applicable at
the time of the offence.
Our search functions are designed with you in mind. You are able to search by
regulator, jurisdiction and by keyword. Our most exciting feature is to be able to search by #tag.
Our team of compliance experts, backed by our AI, Reggie, sorts through our enforcement
notices and allocates appropriate tags that allow you to easily locate notices by subject matter,
such as AML, fraud and forgery and market manipulation, to name a few.
To help you do your job more efficiently, our Enforcement Database provides links
to underlying documents, from press releases to circulars, referenced in any enforcement notice.
Where appropriate, we also highlight the relevant legislation and provide additional links for a
more complete reading and understanding of the notice.
Similarly, we cross reference
enforcement notices, to let you easily move through any related notices and actions.
Our Enforcement Notice Database is included in our Premium Channels, which are available on an
unlimited basis with our Summit or Enterprise packages.
