ASIC has clarified its expectations of AFS licensees and financial advisers for compliance with the FASEA code starting from 1 January.
November 28, 2019MAS and SGX RegCo have released a practice guide outlining five guiding principles for brokers to use in the review and design of their trade surveillance programmes.
August 8, 2019The FICC Markets Standards Board provides new guidance to help market participants identify, prevent, manage and mitigate conflicts of interest.
June 21, 2019The Securities Commission requires each capital market entity to have business continuity management arrangements as part of ensuring systemic resiliency of the capital market.
May 15, 2019Security expert Pieter Danhieux discusses how firms can improve culture, training programmes and coding practices, to help the financial industry maintain leadership in cybersecurity.
March 14, 2019