All posts tagged "risk ratings"
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343AML / KYCNZ FMA Risk Assessment Finds VASPs Sector ‘High Risk’
The FMA's sector risk assessment for 2021 says VASPs, derivatives issuers and online investment platforms could be targeted by money launderers.
December 8, 2021 -
1.2KEnforcementSFC Fines Mega International Commercial Bank Over Sales Practices
Mega did not properly assess clients’ investment objectives, risk tolerance levels and knowledge of derivatives, or ensure the suitability of its fund recommendations for clients.
May 7, 2020
