All posts tagged "business continuity"
-
555Asia-PacificThailand SEC Set to Overhaul Mutual Fund Regulations
The SEC proposes more principle-based and flexible requirements for the establishment of new funds and in the investment decision process.
August 17, 2021 -
660Big PictureOECD Offers Policy Advice for Regulating AI in Financial Services
Among the recommendations are the introduction of suitability requirements for AI-driven financial services, and add-on capital buffers based on AI algorithms.
August 17, 2021 -
254Australia & 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 -
421ChinaChina to Require Cybersecurity Reviews Before Firms List Overseas
Companies that have personal information of more than 1 million users must submit to a cybersecurity review by the Office of Cybersecurity Review.
July 14, 2021 -
463InternationalIOSCO 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 -
424FeatureHKMA Directs Banks to Prepare for OpRisk Rule Updates
The HKMA plans to revise its SPM module on Operational Risk Management to incorporate elements of the revised PSMOR issued by the BCBS.
April 23, 2021 -
630InternationalBCBS Issues Principles for Operational Resilience and Risk
Increasing banks' resilience to absorb shocks from operational risks will provide additional safeguards to the financial system as a whole, the BCBS says.
April 1, 2021 -
305IndiaSEBI Issues Guidelines for MIIs on Handling Disruptions
The new guidelines follow last month's trading halt at the NSE. The exchange has submitted a root cause analysis to SEBI.
March 25, 2021 -
280Asia-Pacific
SEC Thailand Targets Recovery Objective in New Strategic Plan
The plan includes a 'recovery and strengthening' objective, and measures to support the use of liquidity enhancement tools for businesses affected by Covid-19.
February 17, 2021 -
283Capital / Liquidity
SEBI to Require AMCs to Help Capitalise New Clearing Corporation
Individual contributions by asset managers towards the new LPCC will be calculated based on their AUM in open ended debt-oriented mutual fund schemes.
February 8, 2021
