07/26/2021
The Court found that between September 2014 and August 2017, a total of 404 customers were harmed by BT’s and Asgard’s conduct.
07/26/2021
The cancellation of Fentborough’s AFS licence is part of ASIC’s ongoing efforts to improve standards across the financial services industry.
07/26/2021
The BOJ itself will also make disclosures with consideration for the TCFD recommendations and enhance its communication with the public on climate-related conduct in general.
07/26/2021
There hasn’t been that middle layer of associates, analysts and VPs coming through
07/23/2021
Issues expressed by regulators include concerns about data security practices such as disclosure of statistics on taxi trips taken by government officials.
07/23/2021
Feedback on the draft CRIS can be submitted until 13 August 2021.
07/23/2021
With over 10,000 managers in China, the expectation is many will want to set up in Hong Kong and broaden their fund portfolios
07/22/2021
Carmen Chu, Executive Director (Enforcement and AML), Hong Kong Monetary Authority
07/22/2021
As businesses integrate ESG action into business renewal, there is an imperative to mitigate risks and pre-empt regulatory and compliance complexities
07/21/2021
These reforms flow from two recommendations of the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry.
07/21/2021
ASIC also found that Mr Bevan is not a fit and proper person, having regard to his connection to a refusal or failure to give effect to a determination by AFCA.
07/21/2021
Platform users will need to be on-boarded and will need to agree to FINI terms and conditions.
07/21/2021
The Awards, supported by PwC Singapore, brings together the FinTech Awards previously presented separately by MAS and SFA.
07/20/2021
“a financial institution that is considered systemic and closely interconnected with the national financial system due to its large scale of operations, in terms of deposits and investment size, among others”.
07/20/2021
The reforms will promote better information sharing about the performance history of financial advisers and mortgage brokers—focusing on compliance, conduct and risk management.
07/20/2021
The Appleby team was led by David Bulley, Partner in Appleby’s Hong Kong office, and Dean Bennett, Counsel in Appleby’s Cayman office with assistance from Alejandra Gonzalez Saucedo.
07/20/2021
The bonds are listed on the Hong Kong Stock Exchange.
07/19/2021
A year after receiving those briefs the CDPP on Friday informed ASIC no charges should be brought, after it had weighed up the evidence and the “relevant public interest factors”.
07/19/2021
In connection with G Medical's Nasdaq listing, Carey Olsen worked alongside US counsel Sullivan & Worcester LLP and advised the company on all Cayman Islands regulatory and legal aspects of G Medical's IPO and admission to listing.
07/19/2021
ASIC subsequently commenced an investigation into MyBudget to consider whether it was operating a financial services business without holding an AFS licence.