All posts tagged "Monitoring"
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738AML / KYCWolfsberg Group Offers Guidance on Adverse Media Screening
New FAQs highlight the need for FIs to understand how vendors evaluate data source reliability and the controls they have in place address unreliable sources.
May 12, 2022 -
534EnforcementTaiwan FSC Fines KGI Bank Over Misappropriated Client Assets
KGI Bank was fined after one employee misappropriated customer funds and another improperly executed customer transactions.
May 11, 2022 -
1.0KAustralia & NZASIC to Issue Derivatives Reporting Consultation Soon
ASIC’s Alex Orgaz-Barnier says APAC regulators are targeting a common implementation date and alignment to the greatest extent possible.
May 11, 2022 -
250Asia-PacificBSEC to Encourage Brokerage Firms to Launch IPOs
Brokerage firms that are allowed to issue IPOs will be able to increase investment flows to the market and enhance their monitoring, BSEC said.
May 6, 2022 -
392FeatureFSB Issues Guidance for Regulators on Climate-related Risks
The report offers recommendations for monitoring, managing and mitigating climate-related risks to promote consistent approaches across sectors and jurisdictions.
April 29, 2022 -
476AML / KYCFSS Korea Launches Probe Over Shinhan Card Frauds
Shinhan Card is directed to enhance its card issuance and fraud prevention systems, and compensate customers for losses.
April 26, 2022 -
361IndiaSEBI Issues Operational Guidelines for DLT-based Platform
The new DLT-based platform is designed to monitor security creation, covenants and asset cover of non-convertible securities.
April 25, 2022 -
921InternationalJapan FSA Issues Guidance on Preventing Archegos-style Incidents
Firms with securities businesses are expected to draw lessons from the shortcomings observed in the Archegos incident in order to foster a sound risk culture.
April 24, 2022 -
398Feature
FSB Warns of Emerging Vulnerabilities, Financial Stability Risks
Global financial stability cannot be taken for granted going forward, FSB Chair Klaas Knot said in a letter to G20 Finance Ministers and Central Bank Governors.
April 21, 2022 -
378InternationalCanada to Require Climate Disclosures for FIs from 2024
The OSFI will consult financial institutions on climate disclosures guidelines that will phase in mandatory TCFD-aligned reporting beginning in 2024.
April 14, 2022
