All posts tagged "audit"
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448IndiaSEBI’s Final Rules for Resigning Auditors Take Effect
Auditors proposing to resign must first report all of the issues that may be hindering the audit process to the audit committee of the listed company.
October 22, 2019 -
636KoreaKorea FSS to Inspect Shinhan Governance This Month
The FSS is reportedly looking into Shinhan’s governance structure ahead of the end of its current chairman’s term in March 2020.
October 8, 2019 -
1.4KCrypto / Digital AssetsSFC Details Rules for Virtual Asset Fund Managers
The SFC has published new requirements for virtual asset fund managers, relating to capital, best execution, liquidity and custody, among other areas.
October 7, 2019 -
821AML / KYCAUSTRAC Orders AML/CTF Audit at PayPal Australia
AUSTRAC’s order follows a self-reported issue PayPal detected in its reporting system for international fund transfer instructions, which it said it was working to remediate.
September 24, 2019 -
2.0KAsia-PacificNo Time for Complacency Despite Two-Year BMR Reprieve
Third country benchmark administrators will need every bit of the additional time granted for BMR compliance to ensure their benchmarks get approved, say PwC’s Gregory Campbell and Daniela Bunea.
July 22, 2019 -
1.0KChinaSFC Gains Access to Mainland Audit Papers for Investigations
The MOF and CSRC agree to provide the "fullest assistance" in response to SFC requests for investigative assistance regarding the provision of audit working papers.
July 4, 2019 -
880Capital / LiquidityNational Auditor Finds Lending Violations at Chinese Banks
Lenders were found to be favouring borrowers with deposits at their banks, linking loans to the sale of other products, and illegally charging financing fees.
June 28, 2019 -
830KoreaFSC, FSS Agree to Audit KRX, Disagree on Scope
The FSS and FSC have agreed to conduct an audit of KRX by year end, though they disagree on its possible scope and comprehensiveness.
June 20, 2019 -
780AML / KYCNew Zealand FMA Issues AML/CFT Warnings to 10 Reporting Entities
The warnings relate to failures by the firms to comply with requirements to have their risk assessments and AML/CFT programmes audited every two years.
May 14, 2019 -
778Capital / LiquidityBOK, FSS Launch Joint Audit into Major Banks’ Lending Practices
The focus of the joint audit will be on the small business lending practices at Shinhan Bank, KB Kookmin Bank, Woori Bank and KEB Hana Bank.
April 17, 2019
