All posts tagged "Risk"
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469Australia & NZClearView Completes Advice Remediation Programme
Financial compensation totalling A$730,000 was offered to 215 clients who were harmed by poor advice, while another 21 clients received non-financial remediation.
September 20, 2019 -
235JapanJapan Regulators Seek Data on Financial Firms’ Risky Investments
The BOJ and FSA are collecting data on financial firms' holdings of collateralised loan obligations and leveraged loans to understand the risks they present.
September 10, 2019 -
431Capital RegulationUPDATED – PBOC Mulls New Rules to Reduce Risk at Smaller Banks
The PBOC will encourage merger talks instead of bankruptcies when dealing with problematic financial institutions.
August 30, 2019 -
551Capital RegulationCBIRC Issues New Rules to Raise Transparency on Bank Ownership
By end-June 2020, all banks must provide the complete and accurate register of their shareholders to custodian institutions who will manage the register moving forward.
July 26, 2019 -
737Capital Regulation
CBIRC to Launch Special Inspections Targeting Property Lending Practices
The special inspections will reportedly involve 75 banks in 30 cities, scrutinising all aspects of property-related loans, as regulators seek to reign in risk.
July 24, 2019 -
500ChinaChina to Resume Approvals for Domestically Funded Securities Firms
All newly approved brokerages since 2008 have been joint ventures between domestic and foreign investors. But market access should also be broadened to domestic investors, the CSRC says.
July 8, 2019 -
785FeatureBanks Increasingly Focused on Conduct Risk – FSB
At an FSB workshop on compensation practices, banks reported an increased focus on conduct risk, management accountability and culture reform.
March 12, 2019 -
703Big PictureBoard, Compliance Engagement Lacking in Technology Adoption
Financial services firms lack engagement from boards and risk and compliance functions, according to a new survey from Thomson Reuters Regulatory Intelligence.
February 7, 2019 -
1.2KBig PictureRegulatory Fragmentation Heightens Derivatives Market Risk – ISDA
Policymakers should reduce the gap between national regulations and global standards, and adopt a risk-based framework for the recognition of comparable regulatory regimes.
January 31, 2019 -
1.4KContributed ArticleSFC Fund Manager Code of Conduct Compliance Checklist
With the SFC's FMCC compliance deadline about one month away, fund managers need to have key components in place, says Cordium's Derek McGibney.
October 12, 2018
