All posts tagged "Senior Managers"
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911ChinaChina Banking Association Publishes New Code of Ethics
The new Code will establish a system to "blacklist" and "greylist" banking practitioners who violate laws, regulations and discipline, and impose new obligations on senior managers.
September 9, 2020 -
1.1KFeatured ArticlesVideo: Understanding MAS’ IAC Guidelines with Herbert Smith Freehills
Regulation Asia sat down with Natalie Curtis, Partner at Herbert Smith Freehills, to understand MAS' new framework on individual accountability and conduct, ahead of its formal introduction expected in early 2020.
January 13, 2020 -
540AML / KYCAPRA Investigates Westpac, Imposes Capital Surcharge
APRA's investigation will focus on the conduct that led to Westpac's alleged 23 million AML breaches, and whether its senior managers breached the Banking Act, including the BEAR.
December 17, 2019 -
734EuropeUK Senior Managers Regime Now Covers All FCA Regulated Firms
All FCA regulated firms, including asset managers and hedge funds, now have to comply with the SM&CR, including for senior managers and key risk-takers hired at overseas branches.
December 13, 2019 -
744EnforcementFostering Customer Trust in the Financial Industry: MAS
Regulators and FIs alike have an important part to play to build trust in the financial industry, MAS deputy managing director Ong Chong Tee said in a speech on Saturday.
November 18, 2019 -
600AML / 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 -
3.3KContributed 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 -
619Australia & 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 -
2.9KContributed 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 -
2.9KFeatured 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
