Tag Archives: MIC
MAS to formalise reference checks for ‘rolling bad apples’ to strengthen public trust
PBs need further guidance on reporting investigative actions in licensing forms
SFC releases thematic review on prime brokerage services
Hong Kong and UK regulators adopt diverging enforcement styles
SFC appoints veteran tax accountant as new chairman
SFC’s on-site inspections reveal increase in Code of Conduct breaches
10,600 senior managers registered as MICs: SFC
MAS proposes greater accountability for senior managers
2018 regulatory outlook: what should Asia’s private banks watch out for?
Compliance professionals steer clear of leadership roles in Hong Kong
SFC “fully implements” MIC framework
HKMA to align its rules with SFC’s manager-in-charge programme, lawyers say
Hong Kong’s SFC clarifies exemptions policy for Type 9 licences
AML officers in Hong Kong say they are “highly stressed” amid regulatory clampdown
SFC aims to “nip bad behaviour in the bud” with supervision and “front-loaded” regulation
SFC launches ‘manager in charge’ programme
SFC’s “managers in charge regime” to impact private banks without international branches, says law firm
