All posts tagged "Monitoring"
-
324Australia & NZASIC Issues Report on Debt Capital Raising Conflicts of Interest
ASIC's report, in alignment with a report from IOSCO, offers better practices to manage conflicts of interest and conduct risks in debt capital market transactions.
September 24, 2020 -
577FeatureSFC Identifies Cybersecurity Deficiencies at Internet Brokers
The SFC found deficiencies relating to two-factor authentication, data encryption, session timeout, monitoring and surveillance, among other areas.
September 24, 2020 -
236Australia & NZAPRA Offers Guidance on Handling of Deferred Loans
Banks should immediately inform APRA and ASIC if they experience issues collecting on loans with repayment deferrals.
September 24, 2020 -
194EnforcementKorea FSS Fines Four Foreign Fund Managers for Naked Short Selling
One firm was fined KRW 360mn for failing to borrow KRW 13mn worth of stock prior to short-selling, a penalty of more than 27 times the amount short-sold.
September 22, 2020 -
501EnforcementKorea to Strengthen Penalties for Naked Short Selling
Under a new bill, unauthorised short selling can be punished criminally, in addition to a penalty up to 300% of profits obtained or losses avoided through the short selling.
September 15, 2020 -
1.4KAML / KYCLeveraging Data & Tech in Financial Crime Compliance
The pandemic has been an agent for accelerated change in operational and frontline functions. Financial crime compliance teams need to get in on the act.
September 14, 2020 -
459AML / KYCFIA Releases Surveillance and Market Abuse Guidelines
The guidelines cover requirements relating to monitoring, surveillance systems and the filing of suspicious transaction and order reports under the EU's Market Abuse Regulation.
September 10, 2020 -
1.5KKoreaKorea Kicks Off First Meeting of New Green Finance Task Force
The task force will establish a monitoring system for climate-related financial risks, lead efforts to boost investment in green industries, and promote ESG investing in Korea.
August 14, 2020 -
508InternationalIOSCO Outlines Key Elements of Effective Market Making Programmes
The key elements may help promote the provision of liquidity, strengthen investor confidence, and foster fair and efficient markets, IOSCO says.
August 12, 2020 -
1.5KAML / KYCHKMA Issues AML Guidance to Banks As Pandemic Persists
The guidance sets out key practices banks have been using to manage customer due diligence, resource pressure, and emerging threats in the context of Covid-19.
July 30, 2020
