All posts tagged "licence"
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316Asia-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 -
134Hong 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 -
108Australia & 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 -
375AML / 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 -
105EnforcementMAS 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 -
332Asia-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 -
238Australia & NZ
New Zealand Launches New Financial Advice Regime
Anyone who gives regulated financial advice to retail clients must either hold or operate under a Financial Advice Provider licence granted by the FMA.
March 16, 2021 -
498FeatureLINE Bank Taiwan Granted Digital Bank Operating Licence
LINE Bank could launch trial operations as soon as mid-March, with a view to launching full operations within the first half of the year.
February 5, 2021 -
305Australia & NZ
FMA Clarifies Expectations on Use of Overseas Research in New Zealand
Overseas firms without a New Zealand financial advice licence can supply research reports to licensed New Zealand firms, but not to retail clients.
December 21, 2020 -
337Australia & NZASIC Launches Probe into ASX Over Equity Market Outage
ASIC had earlier said it would determine whether ASX followed the relevant regulatory requirements and met its licence obligations.
November 24, 2020
