Some warrants issued to early SPAC investors may have been recorded as equity instruments when they should have instead been recorded as liabilities.
April 15, 2021Digital IDs are perceived as beneficial for the fight against financial crime, an ACAMS-RUSI survey finds. However they may also present risks.
April 15, 2021Dr Marcus Pleyer says supervisors and compliance officers in banks and companies mostly still take a basic tick-box approach.
April 9, 2021Ralf Huber and Yvonne Ngai talked to Regulation Asia about how Apiax transforms text-based documents into digital rules to simplify compliance in cross-border financial services.
April 8, 2021The SEC has reportedly written to banks seeking information on how underwriters are managing the risks involved.
March 29, 2021The HKMA invites Regtech providers to showcase solutions to help Hong Kong banks solve common risk management and regulatory compliance pain points.
March 26, 2021Firms across APAC that allocate a higher percentage of compliance spend to technology have comparatively lower overall compliance cost.
March 26, 2021The new rules prohibit investors from placing multiple orders for IPO subscription via multiple brokerages and improve Chinese wall regulations
March 16, 2021Allianz Australia acknowledges previous risk and compliance weaknesses and emphasises its commitment to addressing these issues.
March 11, 2021Quincy Tse discusses how firms can cultivate and promote a culture of compliance even as remote work arrangements continue to be commonplace.
February 24, 2021