All posts tagged "Managers-in-Charge"
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1.0KEnforcementSFC Warns Brokers, Traders on Client Facilitation Conduct
The SFC has found brokers that are failing to comply with the expected standards on client facilitation, and plans to take action against both individuals and firms.
May 17, 2019 -
1.2KAsia-PacificCulture & Conduct: the Global Regulatory Agenda
The UK FCA has been a definitive leader in driving the global supervisory agenda in relation to culture and conduct risk, say Jeff Kupfer and Stephen Scott at Starling Trust Sciences.
April 29, 2019 -
544FeatureLicensed Corporations Should Carefully Review Internal Controls – SFC
The SFC has reviewed brokers' internal control systems and found they are not adequately protecting client assets, supervising their staff or incentivising good compliance culture.
December 20, 2018 -
386EnforcementSingapore Raises Accountability, Conduct Standards at FIs
MAS has released guidelines on promoting individual accountability of senior managers, strengthening employee oversight, and embedding 'proper conduct' standards at financial institutions.
April 30, 2018 -
398EnforcementHong Kong SFC to Focus on Corporate Fraud in 2018
SFC’s recent newsletter on enforcement priorities details concern on false financial statements, IPO fraud and other sponsor failures.
February 27, 2018 -
795Asia-PacificMalaysia Eyes Senior Managers Regime
BNM proposals resemble Hong Kong’s MiC regime in setting out key responsibilities and requiring appointment and naming of responsible individuals.
February 25, 2018 -
560AML / KYC
HKSFC Identifies Product Selling Compliance Failures
Licensed corporations should ensure client suitability when recommending fixed-income and structured products, particularly for complex and risky products.
January 28, 2018
