Regulations
Latest News - Page 13
SEBI imposes structure, facilitates streamlining in India’s PMS industry: Waterfield Advisors
SFC bans former BoCom VP for life
Chinese regulator suggests net capital requirement for WM subsidiaries
FIs should avoid “over-interpreting” regulations: HKMA’s Norman Chan
Dubai regulatory review finds glaring gaps in StanChart PB’s KYC records
SFC licensing reform encourages bad apples to stay put
PBs should review PEP policies in line with FATF report: Mayer Brown
China lifts quota on QFII and RQFII schemes at an “interesting” time
SFC fines HSBC HK$1.2 million for breaching telephone recording rules
PB team moves relatively safe in eyes of the law but caution is vital: Dentons
Culture change lags compliance training efforts: Quinlan & Associates
HK AML/CFT regime is “compliant and effective”, some room for improvement: FATF
AML goal is not “zero failure” but systemic risk control: ACAMS
SFC launches data analytics platform to identify key risks
MAS opens applications for digital banking licences
HKMA’s new LAC rules favour brokerages over banks
Fund liquidity risk management is key amid increasing volatility: SFC
Regulators shine a spotlight on shell companies
PBs must “master all dimensions” of risk management: Synpulse
AML-related breaches tripled YoY in Q2: SFC
MAS imposes mandatory cybersecurity regulations for all FIs
MAS proposes new identification rules to deter abuse of omnibus accounts
SFC bans former UBS client advisor for life
July Regulatory Round-up: SFC notes 2% drop in 2018 PWM AUM; HKMA guidance on loss-absorption products stirs uncertainty; China encourages foreign participation in onshore financial industry
HKMA to roll out technical standards for open API framework
Eddie Yue to replace Norman Chan as the HKMA’s new chief
Regtechs must balance client privacy and AML compliance: LexisNexis Risk Solutions
SEBI imposes structure, facilitates streamlining in India’s PMS industry: Waterfield Advisors
SFC bans former BoCom VP for life
Chinese regulator suggests net capital requirement for WM subsidiaries
FIs should avoid “over-interpreting” regulations: HKMA’s Norman Chan
Dubai regulatory review finds glaring gaps in StanChart PB’s KYC records
SFC licensing reform encourages bad apples to stay put
PBs should review PEP policies in line with FATF report: Mayer Brown
China lifts quota on QFII and RQFII schemes at an “interesting” time
SFC fines HSBC HK$1.2 million for breaching telephone recording rules
PB team moves relatively safe in eyes of the law but caution is vital: Dentons
Culture change lags compliance training efforts: Quinlan & Associates
HK AML/CFT regime is “compliant and effective”, some room for improvement: FATF
AML goal is not “zero failure” but systemic risk control: ACAMS
SFC launches data analytics platform to identify key risks
MAS opens applications for digital banking licences
HKMA’s new LAC rules favour brokerages over banks
Fund liquidity risk management is key amid increasing volatility: SFC
Regulators shine a spotlight on shell companies
PBs must “master all dimensions” of risk management: Synpulse
AML-related breaches tripled YoY in Q2: SFC
MAS imposes mandatory cybersecurity regulations for all FIs
MAS proposes new identification rules to deter abuse of omnibus accounts
SFC bans former UBS client advisor for life
July Regulatory Round-up: SFC notes 2% drop in 2018 PWM AUM; HKMA guidance on loss-absorption products stirs uncertainty; China encourages foreign participation in onshore financial industry
HKMA to roll out technical standards for open API framework
Eddie Yue to replace Norman Chan as the HKMA’s new chief
