All posts tagged "compliance officer"
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345AML / KYCEBA Finalises Guidance for AML/CFT Compliance Officers
The guidelines comprehensively address, for the first time at the EU level, the whole AML/CFT governance set-up at financial institutions.
June 20, 2022 -
241AML / KYCSFC Fines Yardley Securities CEO for AML/CFT Breaches
The processing and approval of suspicious third party fund transfers were attributable to the CEO's failures to discharge his duties, the SFC said.
July 6, 2021 -
289Asia-PacificPhilippine SEC Issues Implementing Rules for ‘Bad Bank’ Law
The implementing rules cover the creation of so-called 'FIST corporations', as well as the processes they will use to acquire, transfer and manage non-performing assets.
February 25, 2021 -
660MalaysiaSC Malaysia Grants Regulatory Flexibilities to Market Participants
The deadlines for market participants to comply with regulatory requirements relating to submissions and training requirements have been extended.
March 23, 2020 -
744AML / KYCMAS Publishes Responses to VCC Consultation Papers
VCCs are required to engage an Eligible Financial Institution, or EFI, to perform necessary AML/CFT checks and maintain the register of controllers, nominee directors and beneficial owners.
January 16, 2020 -
823Asia-Pacific
Philippine SEC Issues New Corporate Governance Code
The new code comes into effect on 12 January, and gives public companies and registered issuers 6 months to submit a new manual on corporate governance.
January 10, 2020
