All posts tagged "Compliance"
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249EnforcementSFC Lifts UBS Underwriting Suspension Two Months Early
The SFC is satisfied that UBS has adequate and effective systems, controls, policies and procedures to enable compliance with all requirements in relation to its sponsor business.
January 14, 2020 -
1.0KAML / KYCTechnology to Drive Regulatory Agenda in 2020: Thomson Reuters
Technology has displaced the 2008 financial crisis as the main issue driving the international regulatory agenda, says a new report from Thomson Reuters.
January 9, 2020 -
215IndiaSEBI Updates Framework for System Audits of Market Infrastructures
Stock exchanges, depositories and clearing corporations are required to include compliance with SEBI rules in the scope of their system audits, and to report any non-compliance to the regulator.
January 8, 2020 -
676Market InfrastructureTaiwan FSC Outlines Bank Examination Priorities for 2020
The FSC's Financial Examination Bureau will reportedly focus on compliance with rules on AML, corporate governance, information security, consumer protection and personal data protection.
December 26, 2019 -
728Australia & NZASIC Publishes Findings from 2019 Regtech Initiatives
Participants said the exponential growth in data volume means the financial services industry must consider implementing regtech as an 'imperative' to undertake risk management and compliance functions.
December 25, 2019 -
301AML / KYCAML Audit Ordered by AUSTRAC Finds Afterpay ‘Low Risk’
Following AUSTRAC’s order for Afterpay to review its AML/CTF compliance in June on suspicious of breaches, an external order has found the breaches only occurred due to the poor legal advice.
November 27, 2019 -
590SingaporeSGX RegCo Rewards Good Governance with ‘Fast Track’ List
SGX RegCo has named 95 companies that will receive prioritised responses on selected corporate action submissions for maintaining high standards of governance, compliance and reporting quality.
November 26, 2019 -
949Capital RegulationBCBS 239: The Rise of 2.5LoD at Singapore Banks
PwC’s Shierly Mondianti and Irene Liu explore the advantages and disadvantages of the operating models for executing independent validation post-BCBS 239 compliance.
November 18, 2019 -
226Australia & NZ
ASIC Initiates Civil Penalty Proceedings Against Former ANZ Business
ASIC says that RI Advice Group, acquired by IOOF from ANZ last year, failed to take reasonable steps to ensure that one of its advisers, John Doyle, provided appropriate advice and acted in clients’ best interests.
November 4, 2019 -
263Australia & NZASIC Imposes Additional Licence Conditions on IOOF
ASIC granted a licence variation requested by IOOF’s investment services unit, but has decided to also impose additional licence conditions.
October 29, 2019
