10/05/2020
HKMA Directs Banks to Review, Enhance Sales Practices
In a new report, the HKMA has summarised the findings and good practices identified by the mystery shoppers.
10/05/2020
Auditors continued to sign off payment group’s accounts even after a whistleblower’s tip
10/05/2020
“We are excited to be one of the few systematic fund managers that have been granted a QFII licence so far, and to thereby gain wider access to China’s highly developed and liquid onshore market,” Antoine Forterre, co-chief exec
10/05/2020
Regulators seek increased transparency, disclosure for firms and products
10/05/2020
Banks will have to forgo six trillion rupees if interest on all loans are waived off, according to the government's affidavit.
10/04/2020
Section 203 of the Securities and Futures Act deals with the responsibilities of corporate officers to make necessary disclosures to the Exchange.
10/02/2020
At the time of the conduct, a contravention of s184 (2) of the Corporations Act 2001 attracted a maximum penalty of 200 penalty unit or imprisonment for 5 years, or both.
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.