All posts tagged "Culture"
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279Australia & NZNew Zealand Passes Law to Introduce ‘Conduct Licensing’ Regime
Banks, insurers and non-bank deposit takers will be required to obtain a conduct licence from the FMA, on top of their prudential licences from the RBNZ.
July 1, 2022 -
355FeatureUS Lawmakers Conclude Review Into Meme Stock Market Event
A House committee says the SEC should introduce a liquidity rule for clearing brokers and FINRA should establish liquidity planning requirements.
June 28, 2022 -
731EnforcementUK FCA Places Credit Suisse on Regulatory Watchlist
Credit Suisse was added to the FCA's watchlist due to concerns that it was not doing enough to improve its culture, governance and risk controls.
June 15, 2022 -
379Australia & NZAustralia: New Govt to Push Ahead with BNPL, Crypto Regulation
The government will also continue a consultation process started by Josh Frydenberg on a regulatory framework for the crypto sector.
June 15, 2022 -
300ChinaChina: New Rules for Insurers Target Related Party Transactions
The CBIRC has also named 43 more shareholders of banks and insurers who it says have violated regulations.
June 7, 2022 -
374ChinaCSRC to Strengthen Integrity of Securities Issuance Practices
The guidelines aim to improve systems and mechanisms used by intermediaries to prevent dishonest practices and corruption in securities issuance activities.
June 3, 2022 -
468Australia & NZRBNZ Commends Westpac for Improved Liquidity Risk Management
The RBNZ says Westpac NZ has improved its liquidity risk management and risk culture by improving resourcing and governance.
May 31, 2022 -
465FeatureHKMA Directs Banks to Comply with New Rules for Trust Business
Banks and their subsidiaries have until 1 June 2023 to comply with new regulatory requirements for their trust business and related activities.
May 30, 2022 -
461Feature
HKMA Publishes Findings from Front Office Incentives Review
Some incentive systems used in retail banks' front offices may unintentionally push staff to prioritise business objectives over customer outcomes.
May 26, 2022 -
440ChinaCBIRC Proposes New Rules on Consumer Rights Protection
The proposed rules prohibit misleading sales, compulsory product bundling, unreasonable charges, and "algorithmic discrimination".
May 23, 2022
