All posts tagged "Compliance"
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30Securities & TradingUS SEC Identifies Accounting Issues with SPAC Listings
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, 2021 -
80AML / KYCDigital ID Perceived As Beneficial in Combatting Financial Crime
Digital IDs are perceived as beneficial for the fight against financial crime, an ACAMS-RUSI survey finds. However they may also present risks.
April 15, 2021 -
351AML / KYCFATF President Calls for Rethink of Regulatory Culture
Dr Marcus Pleyer says supervisors and compliance officers in banks and companies mostly still take a basic tick-box approach.
April 9, 2021 -
238Asia-PacificSimplifying Cross-border Compliance Through Machine Readable Rules
Ralf 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, 2021 -
177Securities & Trading
US Securities Regulator Opens Inquiry into SPAC Listings
The SEC has reportedly written to banks seeking information on how underwriters are managing the risks involved.
March 29, 2021 -
272Fintech / RegtechHKMA Launches Regtech Challenge to Address Banking Pain Points
The HKMA invites Regtech providers to showcase solutions to help Hong Kong banks solve common risk management and regulatory compliance pain points.
March 26, 2021 -
600AML / KYCCompliance Costs Impacted by Technology, Covid: Report
Firms across APAC that allocate a higher percentage of compliance spend to technology have comparatively lower overall compliance cost.
March 26, 2021 -
134Capital RegulationFSC Korea Issues Revised Capital Markets Rules
The new rules prohibit investors from placing multiple orders for IPO subscription via multiple brokerages and improve Chinese wall regulations
March 16, 2021 -
189Australia & NZAPRA Accepts Court Enforceable Undertaking from Allianz
Allianz Australia acknowledges previous risk and compliance weaknesses and emphasises its commitment to addressing these issues.
March 11, 2021 -
499Asia-Pacific2021 Will Demand a Different Culture of Compliance
Quincy Tse discusses how firms can cultivate and promote a culture of compliance even as remote work arrangements continue to be commonplace.
February 24, 2021
