10 February 2021 |
SFC reminds intermediaries to act in the best interests of clients when trading highly volatile securities
Tag Archives: Simmons & Simmons
14 January 2021 |
PBs should prepare for stronger regulatory emphasis on compliance in 2021
17 September 2020 |
Singapore accountability regime possibly more “operational heavy” than Hong Kong
28 August 2020 |
A third of Asia’s private credit investors are FOs, HNWIs: ACC report
3 April 2020 |
March Regulatory Round-up: SFC postpones regulatory deadlines; Asian banks eager to close gap in AML compliance; Force majeure clause may affect PB trading contracts; Regulators scrutinise price transparency at PBs
20 March 2020 |
Force majeure clause may affect PB trading contracts
25 February 2020 |
Banks grapple with employment issues in COVID-19 crisis
31 October 2019 |
AMC suitability needs to be assessed on a “case by case” basis: Simmons & Simmons
16 September 2019 |
SFC licensing reform encourages bad apples to stay put
16 July 2019 |
HKMA guidance on loss-absorption products relaxes rules, stirs uncertainty
24 January 2019 |
Revised UT Code unifies disclosure standards of SFC-authorised products
26 June 2018 |
Aligning interests more important than going retrocession-free: Credit Suisse
29 May 2018 |
PI definition likely to expand
16 March 2018 |
Banks struggling to comply with MAS's new 610 regulation
12 January 2018 |
2018 regulatory outlook: what should Asia's private banks watch out for?
10 January 2018 |
BoS ruling shows courts are finally taking SFC regulations seriously: lawyer
1 December 2017 |
Robos may need to report regularly to regs due to suitability requirements
3 August 2017 |
Post-1MDB, banks and MAS must “collaborate” to bolster AML control framework
31 July 2017 |
Shared KYC database “a step in the right direction”, but legislative changes necessary
9 June 2017 |
New suitability requirements enforced with questions unanswered, say lawyers
2 June 2017 |
To encourage fintech growth, Hong Kong’s regulators should “take a step back”, says law firm
19 April 2017 |
Singapore regulators likely to become “more active” in AML space, says law firm
1 March 2017 |
SFC’s incoming client suitability clause: the impact on mis-selling claims and on RM selling processes
15 December 2016 |
Experts predict impact of SFC’s suitability clause on PBs
13 December 2016 |
Regtech risks to rise in 2017, says law firm
