South Korea Overhauls Securities Firm Internal Controls to Pre-Empt Misconduct, 1 Year After Enforcement Push

According to the Financial Services Commission, South Korean securities firms have strengthened their internal control systems over the past year to shift from post-incident penalties to pre-emptive safeguards. The measures include restricting employee stock trading and extending monitoring to family accounts, marking a response to accelerated regulatory enforcement against market manipulation and insider trading.
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