All posts tagged "Senior Managers"
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419Capital / LiquidityBCBS Issues Principles on Managing Climate Risks in Banking
12 principles are aimed at banks and 6 are aimed at financial supervisors and regulators. Implementation is expected "as soon as possible".
June 16, 2022 -
285ChinaChina Cracks Down on Listed Company Business with Finance Companies
The CSRC and CBIRC are jointly cracking down on related-party and affiliated transactions involving listed companies and finance companies.
June 5, 2022 -
468ChinaChina Launches New Practice Guidelines for Securities Industry
A new database will be established to maintain records on China's 360,000 brokers. The process for Hong Kong and Taiwan licensees to practice in the mainland is simplified.
May 13, 2022 -
527MalaysiaBNM Finalises Conduct Requirements for Financial Advisers
Advisers will have to provide customers with suitable product options from at least three different providers for each class of insurance or takaful business being recommended.
April 29, 2022 -
477China
CSRC Finalises New Rules on Investor Relations Management
The guidelines require listed companies to enhance their investor relations practices, including by providing more ESG information in communications.
April 21, 2022 -
375ChinaCSRC Relaxes Rules for Appointing Securities and Fund Personnel
Passing a proficiency test is no longer a prerequisite qualification for personnel with certain work experience, and educational requirements have been scrapped.
February 23, 2022 -
368MalaysiaBursa Malaysia to Enhance Conflict of Interest Disclosure Rules
Proposed amendments will require directors and senior managers of listed companies to disclose their interests in competing businesses.
December 2, 2021 -
339AML / KYCNew Zealand Consults on Broad Changes to AML/CFT Act
Changes being considered include the introduction of a new registration regime for all AML/CFT businesses, a licensing regime for VASPs, and direct penalties for senior managers.
October 8, 2021 -
11.1KContributed ArticleThe Impact of MAS’ IAC Guidelines on Data Governance
Irene Liu and Catherine Lee discuss the applicability of MAS' Guidelines on Individual Accountability and Conduct on data governance.
September 9, 2021 -
376Hong KongHKMA Urges Continued Momentum in Bank Culture Efforts
Culture is the "invisible glue" that holds a bank together and assumes an even more critical role during the pandemic, says the HKMA's Arthur Yuen.
September 9, 2021
