All posts tagged "enforcement"
-
514AML / KYCCambodia Approves Draft Laws to Curb Money Laundering
The draft bills were reportedly motivated by Cambodia's placement on the FATF's 'grey-list' last year, which impacts foreign investment and the economy.
May 20, 2020 -
838Australia & NZACCC, OAIC Outline Enforcement Approach to Data Rights Breaches
A 'strategic risk-based approach' to compliance and enforcement has been adopted, focusing on building consumer confidence in the security and integrity of the Consumer Data Right system.
May 11, 2020 -
357Australia & NZASIC Quadrupled Criminal Charges Laid in H2 2019
In the six months to December 2019, ASIC did not have any new enforceable undertakings, reflecting its post-Royal Commission 'why not litigate' approach to enforcement.
April 30, 2020 -
507Asia-PacificThailand SEC Sets Out Three Year Strategic Plan for Capital Market
The strategic plan includes greater integration of ESG factors in the market, enhancing SME and startup access to capital, promoting the use of digital and e-KYC technologies, among others.
February 28, 2020 -
366Australia & NZ
ASIC Reveals Sharp Increase in Investigations Involving Major FIs
As of 1 January, ASIC had 316 investigations on foot related to misconduct. Cases involving CBA, NAB, Westpac, ANZ and AMP increased 52% from 12 months earlier.
February 27, 2020 -
350Australia & NZ
APRA, ASIC Welcome Reforms on Superannuation Regulation
ASIC will be focused on conduct issues involving superannuation trustees, while APRA will be focused on prudential supervision of trustee activities.
February 17, 2020 -
392EnforcementSFC Bulletin Shows Sponsor Conduct Still Top-of-mind
The Regulatory Bulletin offers case studies illustrating the SFC’s key areas of concern and recent regulatory interventions in IPO applications and corporate transactions.
February 7, 2020 -
428EnforcementMAS Issues First Penalty for Shareholder Disclosure Breach
An investor was fined S$200,000 for failing to disclose that he had become a substantial shareholder in a Catalist-listed company, and for subsequent disclosure rule breaches.
January 20, 2020 -
269Enforcement
Review Panel Offers Recommendations for Improving SFC Operations
While welcoming the SFC's front-loaded regulatory approach, the Process Review Panel says the regulator should be aware of its possible unintended effects and consider ways to minimise them.
January 17, 2020 -
525EnforcementSGX RegCo Adopts Risk-Based Approach to Quarterly Reporting
A new risk-based approach to quarterly reporting and stronger continuous disclosure requirements will apply from 7 February. The new whistleblowing office has also been established.
January 10, 2020
