The tool will also contain a comprehensive database of all known crypto exchanges worldwide, along with their contact information, for use in investigations.
September 26, 2023Chee Tak Securities had no written manuals, policies and procedures on recording order instructions, ongoing monitoring, trade surveillance or employee dealing.
September 19, 2023The FCA said it will take "prompt action" if any significant deficiencies are identified in the arrangements of any firm assessed in the review.
September 8, 2023The enhanced monitoring programme seeks to address concerns over rising algorithmic trade-driven market volatility.
September 5, 2023Alert review records were missing for over 14,000 alerts. Client call records were missing for more than 1,000 orders.
August 23, 2023A soft launch of the new data collection system will be in January 2024. Full implementation is set for April 2024.
August 19, 2023Several warnings were issued in the lead-up to Tuesday's attacks. 25 public and private institutions are reported to have been breached.
August 17, 2023The bank failed to complete identity verification for customers that were transferred in from another FI and had other issues related to CDD and ongoing monitoring.
August 16, 2023Korea Deposit Insurance Corp is seeking to establish a monitoring system for deposits at local savings banks to ensure financial stability.
August 11, 2023The FSS said it will impose disciplinary procedures "promptly and strictly" against managers and executives who commit illegal acts.
August 4, 2023