- MAS machine learning risk-flagging of financial advisory representatives
Solution · 3 October 2023
MAS uses a machine learning model to flag financial advisory representatives who may pose a higher risk of mis-selling investment or insurance products. Institutions with more flagged representatives…
- Mis-selling detection in insurance telemarketing
Solution · 6 April 2020
The Korean Financial Supervisory Service (FSS) has developed a tool to transcribe recordings of insurers’ telemarketing activities and to classify them as mis-selling, if appropriate. After…
- Joint Forum release of "Customer suitability" paper
30 April 2008
Press release | 30 April 2008The Joint Forum released a paper today entitled Customer suitability in the retail sale of financial products and services.The customer suitability report considers how…
- Arthur Yuen: Keep up the momentum - importance of sound bank culture in times of pandemic
8 September 2021
Keynote speech by Mr Arthur Yuen, Deputy Chief Executive of the Hong Kong Monetary Authority, at the ASIFMA (Asia Securities Industry & Financial Markets Association) Compliance Week 2021, Virtual…
- Mark Carney: Worthy of trust? Law, ethics and culture in banking
Speech · 21 March 2017
Remarks by Mr Mark Carney, Governor of the Bank of England and Chairman of the Financial Stability Board, at the Banking Standards Board Panel "Worthy of trust? Law, ethics and culture in banking"…
- Staying Ahead of Scams: Smarter Tools, Stronger Coordination
Event · 15 June 2025
From AI-generated manipulation to fast-moving cross-border scams, fraud is evolving faster than ever — challenging the limits of traditional regulatory approaches. How can regulators stay ahead of…
- IOSCO Asia Pacific Hub Webinar on SupTech & Fraud Detection in Capital Markets, Virtual, 19 May 2026
Event · 18 May 2026
The IOSCO Asia Pacific Hub is organizing a Webinar on SupTech & Fraud Detection in Capital Markets on 19 May 2026. Supervisory technology is becoming an essential tool for regulators addressing…
- The supply side of household finance
Report · 3 December 2015
BIS Working Papers | No 531 | 03 December 2015by Gabriele Foà, Leonardo Gambacorta, Luigi Guiso and Paolo Emilio MistrulliPDF full text (1,278kb) | 54 pagesWe propose a new, data-based test for the…
- SIPM Early Warning System
Solution
SIPM Early Warning System (EWS) for securities supervision is designed to detect potential problems or irregularities in securities trading or investor's behaviour.
- ASIC Design and Distribution Obligations (DDO) Surveillance Suite
Solution · 1 January 2022
ASIC's surveillance architecture monitoring compliance with the Design and Distribution Obligations (DDO) regime for retail investment products. Ingests system-wide Internal Dispute Resolution (IDR)…
- SFC data analytics platform
Solution · 21 December 2022
Hong Kong's Securities and Futures Commission data analytics platform is a key suptech initiative that leverages big data and artificial intelligence to analyse trading-related data submitted by…
- The Role of Big Data, Machine Learning, and AI in Assessing Risks: A Regulatory Perspective
Report, Speech · 17 August 2018
Artificial Intelligence, perhaps better known by its two-letter acronym “AI,” has been the fodder of science fiction writing for decades. But the technology underlying AI research has recently found…
- Earnings Manipulation Paths and Mitigation Strategies for Agricultural Technology Enterprises: A Hybrid Approach Using Fsqca and Nca
6 August 2024
gricultural technology companies themselves enjoy high subsidies, but they frequently engage in Earnings manipulation. This study investigates earnings manipulation in 63 agricultural technology…
- Supervision and Compliance of Brokerage Firms
15 May 2018
Brokerage firms are governed by a comprehensive set of rules and guidance regarding the firms supervision of its brokers. This article traces the supervision rules from their statutory origin through…
- Supervision And Enforcement Of Professional Ethics Standards Of Securities Companies And Individuals Practicing Securities: A Case Study Of Vietnam
7 April 2025
Professional ethics is the foundation of the sustainable development of every business. Securities companies as intermediary institutions, as a bridge for subjects in the stock market to approach…
- FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
News · 13 February 2013
In 2013, the Financial Services Authority (FSA) published the findings of a major mystery shopping exercise conducted across the retail banking sector to evaluate the quality of lump-sum investment…
- FSA publishes the results of a mystery shopping review into the quality of investment advice in banks and building societies
News · 13 February 2013
In February 2013, the Financial Services Authority (FSA) published the results of a major mystery shopping review into the quality of investment advice provided by banks and building societies. This…
- Advanced Misconduct Detection
Speech
The SEC uses a sequential approach in some of its misconduct detection methods. The SEC ingests a large corpus of structured and unstructured data from regulatory filings of investment advisers into…