All posts tagged "confidentiality"
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97AML / KYCEBA Consults on Proposals for Central AML/CFT Database
The central database will serve as an early warning tool to enable competent authorities to act before ML/TF risks crystalise and faciltiate inspections and monitoring.
May 12, 2021 -
293EnforcementHKMA Adjusts Scope of Mandatory Reference Checking Regime
The HKMA has adjusted the scope of the regime, shortened the record retention requirement, and lengthened the time allowed to respond to an MRC request.
May 5, 2021 -
157AML / KYCHK Bourse Offers Guidance on Compliance with BCAN Requirements
Exchange participants are “strongly advised” to strengthen controls and take immediate action to rectify any breaches of BCAN requirements.
March 9, 2021 -
170ChinaCSRC Strengthens Industry Controls to Prevent Insider Trading
Listed companies are required to establish a system for the registration and management of individuals who possess inside information.
February 13, 2021 -
827AML / KYCAnti-Money Laundering a Priority for Incoming Treasury Secretary Yellen
Incoming Treasury Secretary Janet Yellen thanked Congress for passing the AMLA, widely considered to be the most significant overhaul of AML legislation in the US since 2001.
January 25, 2021 -
508Australia & NZAPRA Resumes Consultation on Confidentiality of ADI Data
APRA proposes that ADI data related to capital adequacy, liquidity, asset quality, financial statements, and financial performance be determined non-confidential.
September 30, 2020 -
596InternationalIMF Publishes New Transparency Code for Central Banks
The voluntary code allows central banks to measure transparency, which the IMF says is necessary to facilitate accountability and enhance public trust and support.
August 4, 2020 -
491Australia & NZASIC Offers Whistleblower Guidance for Auditors, Company Officers
The guidance explains the obligations of company auditors and company officers under the whistleblower protection provisions under the Corporations Act.
July 1, 2020 -
724ChinaChina Publishes Rules on Prime Broker Access to Interbank FX Market
Foreign investors can apply to become prime brokerage clients to trade interbank FX forwards, swaps, and other FX derivatives to hedge interbank bond exposures.
June 2, 2020 -
959Fintech / RegtechIOSCO Consults on Updated Set of Outsourcing Principles
The principles include selection due diligence, information security, confidentiality issues, outsourcing risk concentration, and access to data, among others.
May 29, 2020
