Tag Archives: Senior management accountability
September Regulatory Round-up: FinCEN leak; MAS’s individual accountability regime; removal of private OFC fund restrictions
Singapore accountability regime possibly more “operational heavy” than Hong Kong
FIs must embed strong culture of responsibility and ethical behaviour: MAS
Extending timelines and deferring policies, MAS wants FIs to focus on COVID-19
Risk management paramount for intermediaries: SFC
MAS to formalise reference checks for ‘rolling bad apples’ to strengthen public trust
PBs need further guidance on reporting investigative actions in licensing forms
Australian wealth managers turn to mass affluent clients following Royal Commission
Asia compliance staff gain power as regulatory burden bites
May Regulatory Round-up: HK regulators bring clarity, competition to PB industry
10,600 senior managers registered as MICs: SFC
Singapore casts a “much larger net” on senior management accountability than Hong Kong
MAS proposes greater accountability for senior managers
