All posts tagged "management oversight"
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264EnforcementSFC Lifts UBS Underwriting Suspension Two Months Early
The SFC is satisfied that UBS has adequate and effective systems, controls, policies and procedures to enable compliance with all requirements in relation to its sponsor business.
January 14, 2020 -
355Asia-PacificPhilippines Approves Introductory Rules for Islamic Banking
The BSP has released guidelines for the establishment of Islamic banks and Islamic banking units in the Philippines, along with a newly-approved Shari’ah governance framework.
January 6, 2020 -
666Fintech / RegtechSingapore Brokers Directed to Enhance Trade Surveillance Systems
MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
August 8, 2019 -
1.6KContributed Article
Practical Steps for Compliance with MAS’ IAC Guidelines
Grace Chong at global law firm Simmons & Simmons analyses the implications of MAS' Individual Accountability and Conduct Guidelines, and sets out the practical steps to be taken.
June 14, 2019
