All posts tagged "MiC"
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397Hong KongSFC Asks Licensed Firms to Review Controls on Third-Party Deposits
Senior management will be held accountable for failures to put in place effective policies, procedures and controls for handling third-party deposits and payments.
June 4, 2019 -
505EnforcementSFC Ramps Up Enforcement Against Capital Market Abuse
Life is about to get very uncomfortable for those who abuse Hong Kong's capital markets, said the SFC's Thomas Atkinson at the 2018 Refinitiv Pan Asian Regulatory Summit.
October 12, 2018 -
894Enforcement
SFC to ‘Vigorously Pursue’ Individuals Culpable for Misconduct
The SFC will do “whatever it takes” to tackle capital markets misconduct, said deputy chief executive Julia Leung at the 2018 Refinitiv Pan Asian Regulatory Summit.
October 10, 2018 -
1.1KContributed ArticleThe Banking Industry’s $850bn Behavioural Problem
If banks are serious about avoiding future fines and losses, the solution lies first and foremost in developing a robust risk culture across the entire organisation.
August 7, 2018 -
285EnforcementHong Kong SFC Releases Further Details on Licensing Regime
SFC bulletin highlights areas of concern the regulator considers in granting and rejecting licenses as well as updates to MIC regime; SFC also announced a forthcoming thematic review of MIC regime compliance.
May 17, 2018
