APRA shares the results of a survey that sought views from employees at 18 ADIs on their risk management practices.
November 12, 2022Alongside the finalised transition framework for financial institutions, GFANZ issues updates on portfolio alignment metrics and policy levers.
November 2, 2022MAS found issues with EFI appointment, oversight and escalation. Customer risk assessments and ongoing monitoring need improvement.
September 14, 2022Reviews underway cover concentration risk in OTC derivatives markets, risk management at futures brokers, and block trading practices.
June 30, 2022Most successful business email compromise frauds occurred because LCs did not check or verify the identities of email senders or they ignored red flags.
March 25, 2022Financial groups should promote a strong risk culture, put in place appropriate supervision and surveillance, and ensure fairness and transparency in trade execution.
January 28, 2022The PRA said StanChart's internal controls and governance arrangements underpinning its regulatory reporting were not implemented or operating effectively.
December 24, 2021BOC UK’s internal customer database did not include reference to Sudan in the name or address fields of two customers despite knowledge of their location.
September 1, 2021The revelation comes follows AUSTRAC's launch of a formal enforcement investigation into NAB earlier this month.
June 18, 2021Securities market participants must hold core capital of at least A$500,000, up from A$100,000 currently required. One year is given for compliance.
June 18, 2021