All posts tagged "Credit Suisse"
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281ChinaDaiwa Securities Joint Venture Granted Beijing Business Licence
The business licence makes Daiwa Securities (China) Co Ltd the fourth foreign-owned joint venture securities firm in Beijing.
January 3, 2021 -
440AML / KYCFederal Reserve Orders Credit Suisse to Enhance AML Controls
Credit Suisse is required to improve its risk assessment, customer due diligence, suspicious activity monitoring and reporting processes.
December 31, 2020 -
857ChinaStanChart Seeks Regulatory Approval for China Securities Unit
The CSRC has accepted an application from Standard Chartered Hong Kong to set up a securities firm in the mainland.
October 13, 2020 -
1.3KChinaCSRC Approves Four ETFs Tracking New SSE STAR 50 Index
China Asset Management, E Fund Management, Huatai-PineBridge Fund Management and ICBC Credit Suisse Asset Management received approval.
September 27, 2020 -
1.2KEnforcement
FINMA Launches Enforcement Proceedings Against Credit Suisse
The proceedings relate to violations identified by a FINMA-appointed auditor in relation to Credit Suisse's observation and security activities, and how these activities are documented and controlled.
September 6, 2020 -
1.0KAML / KYCHong Kong Wealth Managers Scrutinise Clients for Political Links
Wealth managers are said to be screening comments made by clients and their associates in public, in the media, and in social media posts as far back as 2014 to determine their political stance.
July 22, 2020 -
783Australia & NZ
ASIC Penalises Credit Suisse for Breaching Trading Rules
Credit Suisse did not match client orders for on-market buy-backs on an order book as is required by ASIC's market integrity rules.
July 6, 2020 -
663China
Credit Suisse Takes Control of China Securities JV
The CSRC granted Credit Suisse approval to raise its shareholding in the joint venture in April, from 33.3% to 51%.
June 2, 2020 -
2.6KBig PictureRegulatory Initiatives to Address Culture & Conduct Risk in Banking
In its latest annual Compendium, Starling draws on survey findings and commentary from regulators to identify ten culture and conduct trends in the banking sector.
May 11, 2020 -
1.5KFeatureSingapore: HSBC Seeks Court Order to Replace ZenRock Management
ZenRock is the latest Singapore commodities trader to come under scrutiny, for allegedly using the same cargo to secure financing from multiple banks.
May 8, 2020
