All posts tagged "compliance monitoring"
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1.6KAML / KYCChina Strengthens AML/CFT Regime with New Guidance
CBIRC has released guidance to help financial institutions improve AML/CFT controls, on the heels of recent news that PBOC is scrapping its approval process for corporate accounts.
February 22, 2019 -
511Big PictureBoard, Compliance Engagement Lacking in Technology Adoption
Financial services firms lack engagement from boards and risk and compliance functions, according to a new survey from Thomson Reuters Regulatory Intelligence.
February 7, 2019 -
244Capital RegulationChina Requires Corporate Credit Data to be Shared Among Banks
New rules establish information sharing mechanism among lenders for collective gathering and cross-validating business and financial information of borrowers.
June 11, 2018 -
229FeatureHKSFC Issues New Rules on Instant Message Trade Orders
Regulator requires two years of full records, client authentication and validation, a written contingency plan and compliance reviews for instant messaging use.
May 7, 2018
