All posts tagged "Oversight"
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136EnforcementSFC, IA Sign New MoU on Supervisory Cooperation
The MoU covers case referrals, joint inspections and investigations, and sharing of information pertaining to products and relevant entities or key persons.
September 29, 2020 -
600Australia & NZNew Zealand FMA Warns of Action Against Poor Conduct
There are no excuses for conduct that presents the risk of harm to investors, customers and the integrity of the markets, says FMA chief Rob Everett.
September 25, 2020 -
597EnforcementUS Regulators to Reprimand Citigroup Over Risk Management
The Federal Reserve and OCC are expected to require Citigroup to develop and execute a plan to improve its risk management systems.
September 17, 2020 -
1.9KContributed ArticleA Detailed Look at MAS’ New Accountability Guidelines
Grace Chong and Si Rong Low at Simmons & Simmons JWS detail the key points of MAS’ final guidelines on individual accountability and conduct.
September 11, 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 -
450Australia & NZReserve Bank of New Zealand Bill Introduced in Parliament
The Bill focuses on reforming RBNZ’s overall institutional, governance, accountability, and funding arrangements, effectively updating 30-year-old legislation.
July 30, 2020 -
471MalaysiaMalaysia Issues Director Conduct Guidelines for Listed Issuers
The guidelines set out the obligations of directors of listed companies and their subsidiaries, and requirements for the establishment of group-wide frameworks.
July 30, 2020 -
602Big PictureInstitute of Internal Auditors Offers Update to 3LoD Model
The new 'Three Lines Model' is aimed at improving organisational structure to achieve better alignment, collaboration, and accountability among key players.
July 27, 2020 -
1.2KAML / KYCBNM Issues Draft Rules on Merchant Acquiring Services
The exposure draft sets out regulatory requirements for merchant acquiring services to ensure proper risk management amid rapid changes in the e-payments landscape.
July 23, 2020 -
1.3KAML / KYC
MAS Issues AML Outsourcing Guidance for Capital Market Firms
MAS found material lapses in outsourced AML/CFT controls, largely the result of poor assessment and due diligence processes, and lax oversight and monitoring.
July 16, 2020
