All posts tagged "licence"
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224Australia & NZAnother Australian Neobank Announced Decision to Close
The SME-focused Judo Bank is the only neobank in Australia which continues to run independently after listing on the ASX last year.
June 30, 2022 -
458AML / KYCUS Treasury Puts Russia on Path to Sovereign Default
The US Treasury Department allowed its sanctions exemption for Russian payments to US bondholders to expire.
May 27, 2022 -
577ChinaSFC Seeks to Allow Broker Participation in GBA Wealth Connect
A hurdle that still needs to be overcome is that Hong Kong brokerages are currently prohibited from distribution and soliciting clients in mainland China.
March 18, 2022 -
236ChinaCitigroup Applies to CSRC for China Securities Licence
Citigroup reportedly plans to also apply for a futures licence in China in the coming months.
December 6, 2021 -
616Asia-PacificBSP Grants Sixth Digital Bank Licence to PayMaya
The seventh and final digital bank is likely to be an existing bank applying to convert into a digital bank, but approval has been delayed.
September 21, 2021 -
280Hong KongDeutsche Bank Reinstated as IPO Sponsor in Hong Kong
The SFC has approved three new Deutsche Bank hires who can act as IPO sponsor principals, after its licence was suspended in July due to a staffing gap.
September 3, 2021 -
183Australia & NZNZ FMA Cancels Fund Manager Licence for ‘Material’ Breaches
Fund Managers Otago incorrectly calculated and disclosed returns in fund updates and entered into prohibited related party transactions, among other breaches.
July 11, 2021 -
798AML / KYCBinance Deploys New AML Solution Amid Regulatory Pressure
Binance has deployed a new AML compliance solution in the face of a ban in the UK and warnings from Japanese and Thai regulators.
July 2, 2021 -
157EnforcementMAS Issues 10-Year Ban Against Individual for Dishonest Conduct
The individual carried out fund management activities without holding a capital markets services licence, and later convicted of cheating and imprisoned.
May 10, 2021 -
581Asia-PacificSEC Thailand Introduces New Securities Licence Types
The two new licences are for firms that serve as intermediaries only for equity instruments, and for firms managing private funds.
March 17, 2021
