03/15/2018
The SFC also took into consideration the undertaking of CLSA’s board of directors that reasonable steps will be implemented within the next 12 months to rectify CLSA’s internal control failures in relation to avoidance of conflicts of interest
03/15/2018
This arrangement will allow both agencies to consolidate their investigative resources and expertise and further improve the overall effectiveness of market misconduct investigations.
03/15/2018
The companies have agreed to submit an internal report to the regulator after 12 months to ensure implementation of remedial measures.
03/15/2018
A check on the Tü-E Capital website shows the company has an office in Kuala Lumpur.
03/15/2018
It is long since an established bank has shared its license and regulatory expertise through an open platform based on application programming interface,
03/15/2018
Hearing told bank knew its ‘introducer program’ had problems months before telling regulator
03/14/2018
Barclays did little to dampen the speculation it could reverse course and come back to Australia.
03/14/2018
She added while it may be easy for those within the industry to get distracted by regulatory disruption such as the Royal Commission, the industry must prioritise more future-focused and member-focused strategies.
03/14/2018
Bank of Baroda was the only bank that had been working with the Gupta companies after all South African banks severed ties with them following corruption allegations against Ajay, Atul and Rajesh Gupta involving billions of rands.
03/14/2018
The SFC wants to hold individuals as well as the firms accountable, Atkinson said.
03/14/2018
Combinations will uniquely position the world's largest law firm to meet client needs in yet more places around the globe
03/13/2018
Beijing has launched a series of regulatory overhauls over the past two decades, creating and merging agencies, to respond to the growth of China’s vast, state-owned banking, insurance and finance industries.
03/13/2018
The partnership was announced as part of the launch of Grab Financial, the fintech platform within the Grab ecosystem.
03/13/2018
The commentary suggested the party will have greater influence and say in the government, or the State Council, which is headed by Premier Li Keqiang, some analysts say.
03/13/2018
A number of BRI customers reported that money had been withdrawn from their accounts without permission.
03/13/2018
ASIC also surveilled Mr Houghton and received multiple client files from his time as an authorised representative of Financial Wisdom
03/13/2018
The SFC considers that the cooperation of DBAG and DSAL has expedited the disciplinary proceedings; otherwise, similar failures would have resulted in a substantially higher level of fine.
03/12/2018
Zhou's statement is an emphasis, after the United States on Thursday said the online trading platform of digital currencies “has the potential to break the law” so it must be registered with the regulator.
03/12/2018
Regulators are sending a message that they take investor protection seriously.
03/12/2018
Banks are required to carry out extra checks when handling funds from state entities, and must report suspicious transactions, block such transactions if no explanation is given and close the accounts involved if needed.