At its 45th Annual Meeting, the IOSCO Board approved two additional priority themes for 2021 as well as further work to promote consistent sustainable finance disclosures.
November 26, 2020In a recent keynote address, the HKMA's Alan Au discussed seven common themes that were identified from banks' self-assessments of culture reforms.
November 25, 2020Shuhui Kwok at Allen & Overy provides practical tips for FIs to consider when assessing the IAC Guidelines, their application and implementation.
November 17, 2020Up to 31,000 consumers have been remediated for misconduct relating to the sale of travel insurance through Allianz’s own website and those of its partners.
November 4, 2020The former OCBC treasury advisor placed unauthorised FX trades in client accounts, while the former UOB relationship manager made unauthorised bank transfers.
November 2, 2020The former licensed representative said she had forgotten to declare an external securities trading account initially, and "could not be bothered to do so subsequently".
October 30, 2020The FCA’s experience with SMCR could inform senior management regimes in other jurisdictions such as Singapore, Australia and Hong Kong.
October 28, 2020In addition to holding Australian qualifications, the FMA proposes that Australian advisers will need to have at least 12 months’ experience working in Australia.
October 26, 2020The mandatory general offer obligation under the Takeovers Code was triggered 20 times by AV Concept Holdings chairman and his concert parties.
October 20, 2020CMBC Capital did not make information about significant improvement in the company’s financial performance public in a timely manner.
October 18, 2020