All posts tagged "investment suitability"
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ESG / Sustainability
Synpulse Recognised for Work to Address Regulatory Challenges
Synpulse helped clients with ESG gap assessments, periodic KYC review enhancements, and a data management framework uplift project, among others.
December 10, 2021 -
1.1KChinaBank of China to Partially Shoulder Investors’ Crude Oil Losses
The move followed a determination by the Financial Stability and Development Committee that the bank was at fault for not following investment suitability principles.
May 8, 2020 -
758Hong KongHK FSDC Survey Highlights Regulatory Challenges in Wealth Management
Survey and focus group participants highlighted KYC challenges, a lack of clarity on client suitability requirements, and overly onerous investor protection measures impeding professional investors.
February 26, 2020 -
2.4KMarket InfrastructureMAS Issues Guidance on Investment Suitability, Pricing in Private Banking
MAS looks to private banks’ boards and senior management to ensure the effectiveness of policies, processes, controls and systems in sales and advisory practices, and to shape the staff behaviour.
February 17, 2020 -
2.4KChinaHong Kong, China Framework Comparison – Investment Suitability
Synpulse’s Prasanna Venkatesan, Gregory Achache and Marina Mai compare the investment suitability frameworks of Hong Kong and mainland China, and their pain points.
May 1, 2019
