10/02/2020
Patricia Lee, Contributor at Regulation Asia, spoke to experts to find out how regulatory reporting requirements have been changing in APAC and what this has meant for data management practices at financial institutions.
10/02/2020
The regulatory guide also recommends member firms put in place robust risk controls
10/02/2020
This has already been used to complete the first round of self-assessments by 47 authorised institutions.
10/02/2020
Citadelle reportedly handled money for Wirecard in a trustee capacity, although it was not licensed to do so in Singapore.
10/02/2020
The SFC seeks comments primarily on institutional and customer risk assessments
10/01/2020
Over 11,180 advisers have sat the exam with 9 in 10 demonstrating they have the skills to apply their knowledge of advice construction, ethics and legal requirements to the practical scenarios tested in the exam,” FASEA Chief Executive Officer Steph
10/01/2020
China’s top four lenders – ICBC, Agricultural Bank of China, Bank of China and China Construction Bank – are designated as G-SIBs.
10/01/2020
The firm is at the center of one of the region's biggest corporate accounting scandals in recent years, having admitted that €1.9 billion is missing from its financial accounts.
10/01/2020
Magic Circle and white-shoe firms are present on the most prestigious and often complex deals.
09/30/2020
As a leading compliance expert and regulatory lawyer for the last 15 years, Samantha found that approaches to compliance management have stagnated and failed.
09/30/2020
The SFC’s investigation found that between 1 April 2018 and 19 August 2018, CESHK relied on expired standing authority given by around 6,841 clients to pledge their securities as collateral in obtaining credit line from three banks in Hong Kong.
09/30/2020
Mr Moore’s banning is part of ASIC’s ongoing efforts to improve standards across the financial services industry.
09/30/2020
They must also send the hardcopy application or acceptance forms to shareholders.
09/30/2020
Broadband internet service to benefit 45 million people in country's least developed regions
09/30/2020
The AMLS Project builds on Hong Kong’s mutual evaluation, which positively assessed the HKMA’s risk-based AML/CFT supervision, and aligns with international trends to leverage technology and data to identify and assess ML/TF risk.
09/29/2020
Other more recent inbound initiatives, such as the stock and bond connect programmes, have made the QFII and RQFII less relevant.
09/29/2020
Despite threats of a possible exodus after draconian security legislation, the financial hub retains many attractions
09/29/2020
Quantum is now known as Nova Minerals Limited.
09/29/2020
"We welcome the signing of this new MoU which will deepen mutual cooperation and coordination, optimising deployment of limited resources and lessening the compliance burden by reducing duplicated efforts."
09/29/2020
Covid-19: Government launches financial industry recruitment scheme