All posts tagged "Senior Managers"
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60ChinaCBIRC 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 -
266AML / 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 -
467AML / 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 -
121ChinaCSRC Consults on ‘Counselling’ Obligations of IPO Sponsors
The rules impose obligations on sponsors to ensure that directors, supervisors, senior managers, and major shareholders of IPO applicants understand their listing obligations.
May 10, 2021 -
8.5KFeatured ArticlesAsia Has an Opportunity to Demonstrate Global RegTech Leadership
Hong Kong, Singapore and Tokyo each have an opportunity to demonstrate global leadership in the regtech sector, according to a panel of experts hosted by the Asia Society's Hong Kong Center.
January 18, 2021 -
531China
CSRC Updates Senior Manager Rules for Securities, Fund Operators
Securities and fund management firms are expected to establish and improve internal accountability mechanisms for senior managers, and penalise violations with clawback and malus.
November 25, 2020 -
669ChinaNAFMII Issues New Rules for Interbank Bond Market
The rules prohibit issuers from directly subscribing to their own bonds in the interbank market or buying them indirectly through affiliates or asset management products.
November 20, 2020 -
623Australia & NZAPRA Updates Draft Prudential Standard on Remuneration
The prudential standard is expected to come into effect for significant banks in January 2023 and for significant insurers and superannuation entities in July 2023.
November 12, 2020 -
1.7KAsia-PacificThe AIFMD Review: Potential Impacts for Asia Pacific
While some of the proposals could be harmful to market participants, the review presents an opportunity to clarify certain elements of AIFMD, says ICMA’s Arthur Carabia.
November 10, 2020 -
926EuropeBovill Research Calls into Question Efficacy of FCA’s SMCR
The FCA’s experience with SMCR could inform senior management regimes in other jurisdictions such as Singapore, Australia and Hong Kong.
October 28, 2020
