All posts tagged "Governance"
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2.6KChinaHong Kong, China Framework Comparison – Conduct and Culture
Synpulse’s Prasanna Venkatesan, Gregory Achache and Marina Mai compare China and Hong Kong's regulatory frameworks in relation to culture and conduct.
July 19, 2019 -
891Australia & NZAPRA Set for Dramatic Overhaul in Response to Capability Review
Among the review's recommendations are proposed veto powers to prevent the appointment or reappointment of "inappropriate" directors and senior executives at regulated entities.
July 18, 2019 -
776IndiaRBI to Review Framework for Core Investment Firms
Concerned that oversight of increasingly complex core investment firms is now inadequate, the RBI has set up a working group to review its framework.
July 4, 2019 -
4.4KContributed ArticleBuilding Ethical AI into Banking Innovations
FICO's chief analytics officer Scott Zoldi discusses his patent work aimed at achieving the explainability, transparency and auditability regulators demand of AI models.
July 2, 2019 -
3.3KContributed ArticleMAS Clarifies Regulatory Expectations on IAC Guidelines
Grace Chong at Simmons & Simmons JWS recapitulates the key points from MAS’ feedback to the first consultation on the IAC Guidelines, and charts the course ahead.
July 1, 2019 -
971Australia & NZASIC Proposes New Rules for Market Operators, Participants
The proposals seek to ensure resilience of critical systems, reliability of outsourced services, and appropriate management of cyber and data security risks, among other requirements.
July 1, 2019 -
1.0KIndia
RBI Issues Guidelines for Financial Benchmark Administrators
Existing financial benchmark administrators will be notified if their benchmark is considered a "significant benchmark". They will then have three months to apply for RBI authorisation.
June 27, 2019 -
885Australia & NZRBNZ to Intensify Supervision of Financial Institutions
The RBNZ is reviewing its regulatory requirements and intensifying its supervision of financial institutions to boost the resilience of New Zealand's financial system.
June 27, 2019 -
735Australia & NZ
New Zealand Banks Commit to Ending Sales-Linked Incentives
FMA chief executive Rob Everett and RBNZ governor Adrian Orr have confirmed that all banks have committed to removing sales incentives for frontline staff and their managers.
June 25, 2019 -
1.0KInternationalFMSB Issues Draft Good Practice Statements on Conflicts of Interest
The FICC Markets Standards Board provides new guidance to help market participants identify, prevent, manage and mitigate conflicts of interest.
June 21, 2019
