Posts By Derek McGibney, ACA Compliance Group
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859Contributed ArticleSFC Fund Manager Code of Conduct – Five Important Next Steps
Derek McGibney at ACA Compliance Group lays out the activities investment firms should be undertaking to ensure ongoing compliance with the FMCC.
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1.4KContributed ArticleSFC Fund Manager Code of Conduct Compliance Checklist
With the SFC's FMCC compliance deadline about one month away, fund managers need to have key components in place, says Cordium's Derek McGibney.
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905Contributed Article
SFC Fund Manager Code of Conduct – Five Steps to Compliance
Investment management firms with operations in Hong Kong must turn their attention to the new SFC Fund Manager Code of Conduct, which comes into force in four months.
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1.5KCapital RegulationSFC Fund Manager Code of Conduct – What You Need to Know
The ten key points you need to know about the SFC's consultation conclusions on changes to the Fund Manager Code of Conduct, due to be implemented in six months' time.
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909AML / KYC
GRC – The Path to Managing Regulatory Change Intelligently
Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.
