Tag: conduct
Showing 12 out of 12 results
2022 Global Bank Review – Banking on People
As the FCA identifies a culture dividend from diversity and inclusion, firms should prepare for more scrutiny
“Tone from within” – shining the spotlight for conduct risk identification onto individuals – latest FCA feedback on the 5CQ
Singapore and Hong Kong regulators propose enhanced enforcement powers to tackle bad apples
Royal Commission into the financial services industry in Australia: lessons for the UK?
FCA publishes its latest Industry Feedback on its 5 Conduct Questions Programme
Authors: Clive Cunningham, Harry Millerchip, Katie McGrory Background The FCA recently published its Industry Feedback for 2018/19 on its 5 Conduct …
MANDATORY REFERENCE CHECKS TO STOP ROLLING BAD APPLES – MAS ISSUES CONSULTATION PAPER ON PROPOSED REQUIREMENTS
On 6 July 2018, the Monetary Authority of Singapore (MAS) issued a Consultation Paper which, among other things, proposes requirements for Financial …
LIGHTER TOUCH, OR MORE OF THE SAME? MAS ISSUES CONSULTATION PAPER ON PROPOSED GUIDELINES ON INDIVIDUAL ACCOUNTABILITY AND CONDUCT
On 26 April 2018, the Monetary Authority of Singapore (MAS) issued a Consultation Paper on its proposed, and much-anticipated, senior manager …
Asset managers and their senior management (including MICs) warned of action for regulatory non-compliance in Hong Kong
Boards and senior management (including Managers-in-Charge of Core Functions (MICs)) of asset managers have been called on by the Hong Kong Securities …
New SFC guidance on client agreement requirements
In the light of the queries raised by Herbert Smith Freehills following industry consultation, the Securities and Futures Commission (SFC) has issued …
Singapore: MAS withdraws approval from Singapore branch of an international bank for serious AML and conduct breaches
The Monetary Authority of Singapore (MAS) announced this week that it has withdrawn approval from the Singapore branch of an international bank due …
UK: Fair and Effective Markets Review publishes its final report
The Fair and Effective Markets Review (FEMR) has published its final report, setting out 21 recommendations to help restore trust in the wholesale Fixed …