A shift to digital-first AML auditing and more open communications will improve efficiency and effectiveness for regulators and regulated entities alike, writes Claus Christensen.
The framework has been welcomed by investors, though Commissioner Hester Peirce warned it will undermine the existing regulatory framework.
Droit’s Brock Arnason and Craig Butterworth talk to Regulation Asia about how wealth managers are addressing disruption and increasingly complex regulatory requirements in their industry.
Private US securities offerings by China-based companies could become subject to the same scrutiny as publicly traded securities, says Nick Morgan.
Effective and efficient ESG risk management and reporting practices can be enabled through better data and technology, says Steven Yankelson.
Alan Linning and Susanne Harris explain the new requirements and offer guidance on next steps for intermediaries to prepare for compliance by August.
The court's decision merely transfers illicit profits to a select group of individuals who were "lucky enough to have traded with the insider", says Tom Fyfe.
Since 2018, the steps taken by the SFC to regulate the virtual asset space have prioritised investor protection, first and foremost.
A fundamental rethink of FCC is needed to move away from tick-box compliance and ensure greater focus on effectiveness and outcomes, says Kelvin Toh.
Siddhant Sahai says a greater focus on inter-bank relationship monitoring and timely sharing of information are needed to truly address financial crime risks.
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