All posts tagged "senior manager"
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310AML / KYCEBA Finalises Guidance for AML/CFT Compliance Officers
The guidelines comprehensively address, for the first time at the EU level, the whole AML/CFT governance set-up at financial institutions.
June 20, 2022 -
312ChinaCBIRC Updates Rules for FIs on Managing Regulatory Statistics
The rules clarify requirements for regulatory statistics work to be centrally managed within FIs and for data quality to be improved.
May 24, 2022 -
255ChinaSAFE Issues Guidance on Penalties for Forex Rule Violations
Directors and senior managers of financial institutions that deliberately violate the regulations can be fined between CNY 50,000 and CNY 500,000.
November 11, 2021 -
211EnforcementSFC Fines Fulbright Securities Over Internal Control Failures
Fulbright Securities breached regulatory requirements when processing placement subscription applications for a Hong Kong-listed company in August 2018.
November 2, 2021 -
279ChinaPBOC Tightens Rules on Managing Customer Funds for Payment Firms
Customer reserve funds must be deposited either at the PBOC or with an eligible commercial bank, and transferred only through a clearing institution.
January 28, 2021
