All posts tagged "business continuity plan"
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255Australia & NZNZ FMA Issues Cyber Resilience Guidance for Financial Advisers
Under New Zealand's new financial advice regime, many individuals and entities have not previously been subject to compliance obligations for cybersecurity.
July 30, 2021 -
248EnforcementFINRA Orders Record Financial Penalties Against Robinhood
Robinhood has been ordered to pay $70mn for systemic supervisory failures and significant harm suffered by millions of customers.
July 1, 2021 -
604FeatureSFC, HKMA Instruct Regulated Firms to Promote Vaccinations
The SFC says vaccinations are a critical part of operational risk management. The HKMA is requiring banks to submit a list of unvaccinated staff.
June 3, 2021 -
465InternationalIOSCO Finds Gaps in BCP Rules for Trading Venues, Intermediaries
Some jurisdictions have regulatory requirements for critical systems of trading venues that do not extend to outsourced functions.
May 8, 2021 -
462Asia-PacificUPDATED – Bangladesh: Banks, Stock Exchanges Shorten Work Hours
Banks were asked to carry out all transactions from 10am to 12.30pm during the lockdown and to only keep branches open until 2pm.
April 9, 2021 -
387Asia-PacificSEC Thailand Orders Crypto Exchange to Suspend Client Onboarding
Bitkub needs to address five major issues before it can resume onboarding new clients, after high volume trading disrupted its systems in January.
February 8, 2021
