All posts tagged "Audits"
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18ChinaCBIRC Finalises Corporate Governance Guidelines for Banks, Insurers
Directors are required to treat shareholders fairly and guarantee their rights, demonstrate high standards of professional ethics, and protect the rights and interests of stakeholders.
June 12, 2021 -
58Australia & NZASIC Files Australia’s First Criminal Charges Related to Auditing
The charges against EC Audit and its director allege that the audits of Halifax Investment Services were not conducted in accordance with the relevant standards.
June 10, 2021 -
216ChinaChina Instructs Deloitte to Investigate Alleged Auditing Violations
Auditing violations alleged by a whistleblower include improper conduct by certain Deloitte staff members in performing the audits of five companies in 2016 and 2017.
February 13, 2021 -
3.4KContributed ArticleA Detailed Look at MAS’ New Accountability Guidelines
Grace Chong and Si Rong Low at Simmons & Simmons JWS detail the key points of MAS’ final guidelines on individual accountability and conduct.
September 11, 2020 -
607IndiaSEBI Issues Rules on Administrative Assistance to Trustees
Mutual fund trustees must appoint a dedicated employee with professional qualifications and a minimum five years of experience.
August 17, 2020 -
559ChinaUS Regulators Unveil Plan to Deal With Chinese Listings
A presidential working group which includes the chairmen of the SEC, CFTC and Fed has recommended changes to US listing rules to require access to companies' audit papers.
August 8, 2020 -
989AML / KYCMAS Revokes Capital Markets Licence for AML Breaches
Apical Asset Management lacked basic AML/CFT controls despite complex ownership structures used by some of its clients. Its two directors were reprimanded.
July 29, 2020 -
586EnforcementS. Korean Prosecutors Raid Fund Operator on Fraud Allegations
Accused of fabricating depository statements, Optimus Asset Management has suspended withdrawals from six feeder funds since last week, locking up 90bn won in investor money.
June 26, 2020 -
511EnforcementS. Korean Prosecutors Seek Arrest of Samsung Execs for Illegal Trading
Samsung's de facto head, Lee Jae-yong, and two of his senior lieutenants could face charges of illegal trading and stock price manipulation, among other charges.
June 8, 2020 -
345Australia & NZFMA, NZX Announce Support Measures for Listed Companies
The measures include higher capital raising capacity for issuers, a two month extension for financial reporting, and delays for some regulatory work.
March 19, 2020
