All posts tagged "auditor"
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57Asia-PacificThailand SEC Approves New Criteria for SME Fundraising
The new fundraising criteria for SMEs and startups proposed by the stock exchange are expected to become effective this year.
May 28, 2021 -
265AML / KYCAUSTRAC Orders Mutual Bank to Uplift AML Compliance
Australian Military Bank is required to conduct a risk assessment, and then work to improve its KYC, transaction monitoring, EDD, and reporting systems.
May 6, 2021 -
220AML / KYCBaFin Files Criminal Complaint Against Deutsche Bank Exec
Alexander Schütz is suspected of using inside information to trade Wirecard shares. A separate probe into EY's audits of Wirecard is continuing.
April 23, 2021 -
205ChinaCBIRC Calms Market Fears Over Huarong Restructuring
The CBIRC says Huarong is actively cooperating with its auditor and will complete its annual report as soon as possible.
April 19, 2021 -
249Fintech / RegtechRBI Orders MobiKwik to Investigate Alleged Data Breach
The RBI has asked the payments provider Mobikwik to carry out an immediate forensic audit following allegations of a data breach.
April 7, 2021 -
344AML / KYCMalaysia Secures Settlement from Deloitte to Resolve 1MDB Claims
Malaysia’s Finance Ministry is also negotiating a settlement with KPMG, which was replaced by Deloitte as auditor of 1MDB in 2013.
March 5, 2021 -
310EuropeTokyo Exchange Obtains ESMA Recognition Under BMR
A total of 192 benchmarks administered by the TSE are listed as in scope, including key benchmarks TOPIX and JPX-Nikkei Index 400, as well as their sub-indices.
March 5, 2021 -
268EnforcementHK Audit Regulator to Probe Convoy Financial Statements
Zhonghui Anda CPA Limited may have failed to express an appropriate audit opinion in three years of Convoy’s financial statements, the Financial Reporting Council said.
March 1, 2021 -
277ChinaCSRC Investigates SOE and Auditor Over Bond Default
SOE defaults could pave the way for increased transparency, faster resolutions and more predictable outcomes for investors in the long run.
December 3, 2020 -
519China
CSRC Updates Senior Manager Rules for Securities, Fund Operators
Securities and fund management firms are expected to establish and improve internal accountability mechanisms for senior managers, and penalise violations with clawback and malus.
November 25, 2020
