All posts tagged "Senior Managers"
-
335AML / KYCMalaysia Files Criminal Charges Against 17 Goldman Directors
The current and former directors each face 1MDB-related charges carrying a maximum 10-year jail term and a minimum penalty of 1 million ringgit.
August 12, 2019 -
1.3KContributed ArticleMAS Clarifies Regulatory Expectations on IAC Guidelines
Grace Chong at Simmons & Simmons JWS recapitulates the key points from MAS’ feedback to the first consultation on the IAC Guidelines, and charts the course ahead.
July 1, 2019 -
392Australia & NZNew Zealand to Introduce Licensing Regime for Financial Advisers
The new regime will require all New Zealand financial advisers to be licensed by the FMA, effective from June 2020.
June 24, 2019 -
1.3KContributed Article
Practical Steps for Compliance with MAS’ IAC Guidelines
Grace Chong at global law firm Simmons & Simmons analyses the implications of MAS' Individual Accountability and Conduct Guidelines, and sets out the practical steps to be taken.
June 14, 2019 -
1.9KFeatured Articles
MAS Proposes Increased Scope for Accountability, Conduct Guidelines
MAS proposes to apply its 2018 accountability and conduct guidelines to a wider range of financial institutions, including fund managers, trade repositories and benchmark administrators.
June 7, 2019 -
1.4KAsia-PacificCulture & Conduct: the Global Regulatory Agenda
The UK FCA has been a definitive leader in driving the global supervisory agenda in relation to culture and conduct risk, say Jeff Kupfer and Stephen Scott at Starling Trust Sciences.
April 29, 2019 -
431Enforcement
Singapore Raises Accountability, Conduct Standards at FIs
MAS has released guidelines on promoting individual accountability of senior managers, strengthening employee oversight, and embedding 'proper conduct' standards at financial institutions.
April 30, 2018
