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, 2021The individual carried out fund management activities without holding a capital markets services licence, and later convicted of cheating and imprisoned.
May 10, 2021The two new licences are for firms that serve as intermediaries only for equity instruments, and for firms managing private funds.
March 17, 2021Anyone 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, 2021LINE 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, 2021Overseas firms without a New Zealand financial advice licence can supply research reports to licensed New Zealand firms, but not to retail clients.
December 21, 2020ASIC had earlier said it would determine whether ASX followed the relevant regulatory requirements and met its licence obligations.
November 24, 2020The SFC has reprimanded and fined SEAVI Advent Ocean Private Equity for allowing unlicensed individuals to perform regulated functions, in breach of the Code of Conduct.
October 7, 2019MAS places emphasis on conduct and individual accountability in its supervisory approach, using data analytics to help identify unusual trends and flag outliers among fund managers.
February 19, 2019