Case Studies
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Our case studies contain analysis and discussion points for users to better understand the legal provisions. They also provide suggestions on how to prevent corruption, fraud and malpractices.
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Peter was a dealing director of a brokerage company. He was offered a country club membership in exchange for referring company’s business to his golf partner, who was an external broker.
Margaret was an account manager of a brokerage company. Daniel, her client, treated her and her subordinates to a luxurious dinner and offered her an antique watch after earning a good sum of money in his investment.
Agnes, an account manager of a brokerage firm, offered money to Alan, a senior portfolio manager of an asset management corporation, for his assistance in persuading other members in the selection committee to direct business to her.
Ken is working for an international futures trading company as a dealing manager. His company often receives orders from fund managers whose moves can significantly affect the market. Taking this opportunity, Ken makes some secret arrangements with Anna, a dealer of another futures trading company…
Billy, a sales manager of a securities company, deals in the same stocks with his client Joe simultaneously.
