
Tag Archives: record keeping


Hong Kong SFC fines UBS HK$11.55 million over regulatory breaches

June Regulatory Round-up: MAS quashes fund flow rumours; WM Connect launches; PBs in HK ramp up bespoke deal record-keeping

SFC fines HSBC HK$1.2 million for breaching telephone recording rules

MAS proposes new identification rules to deter abuse of omnibus accounts
