All posts tagged "competence"
-
329Hong KongHKMA Notifies Banks of Enhanced Competency Framework
Banks are asked to review and assess the impact of the SFC's revised framework and take action to ensure compliance.
June 23, 2021 -
282ChinaCBIRC Issues Rules on Evaluating Performance of Bank Directors
Banks and insurers have to evaluate the performance of their directors and supervisors each year and classify them as “competent”, “basically competent” or “incompetent”.
February 10, 2021 -
221ChinaCSRC, Exchanges Issue Final Rules for Index Funds
The rules seek to strengthen the professional competence of index fund managers, enhance the quality of underlying indexes used, and improve risk control.
February 1, 2021 -
625Australia & NZFMA to Recognise Australian Financial Advice Qualifications
In addition to holding Australian qualifications, the FMA proposes that Australian advisers will need to have at least 12 months’ experience working in Australia.
October 26, 2020 -
733FeatureSFC to Narrow Scope of OTC Derivatives Licensing Regime
The OTC derivatives licensing regime will not capture corporate treasury activities of non-financial groups, portfolio compression services, and certain portfolio management activities.
June 10, 2020
