All posts tagged "Senior Managers"
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278MalaysiaBursa 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 -
284AML / 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 -
7.2KContributed 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 -
310Hong 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 -
338MalaysiaBNM Amends Rules on Managing Financial Adviser Conduct
Advisers will have to provide customers with suitable product options from at least three different providers when recommending insurance or takaful products.
August 16, 2021 -
159ChinaCSRC to Increase Scrutiny on Fund Manager Governance
The CSRC will revise certain rulesets and establish a new evaluation system to assess the quality of corporate governance at individual firms.
August 13, 2021 -
429AML / KYCEBA Issues Guidance on Role of AML Compliance Officers
Where a financial services firm is part of a group, the guidelines provide that a group AML/CFT compliance officer be appointed at the parent company level.
August 3, 2021 -
108ChinaCBIRC Issues New Qualification Rules for Insurance Executives
Insurers need to seek approval from the CBIRC on the qualifications of directors, supervisors and senior managers starting 1 July.
June 28, 2021 -
397AML / KYCChina Passes Anti-foreign Sanctions Legislation
Countermeasures can be taken against senior managers and actual controllers of firms included on the anti-sanctions list, as well as their family members.
June 14, 2021 -
810AML / KYCChina to Broaden Scope of AML Law, Raise Penalties
The draft law brings into scope non-bank financial institutions as well as property developers, accounting firms and precious metal dealers.
June 3, 2021
