FSR and Corporate Crime Notes
Tag: guidelines
Showing 6 out of 6 results
New European Banking Authority guidelines offer catalyst for change to outsourcing arrangements
Following consultation in the second half of 2018, the European Banking Authority (EBA) has published its final report on draft guidelines for …
From offline to online: upholding investor protection in sale of complex products
As investment services go digital, Hong Kong regulators have found it necessary to issue tailored guidance to protect investors. From 6 April and 23 …
Corporate Crime autumn update 2018
Welcome to the autumn 2018 edition of our corporate crime update - our round up of developments in relation to corruption, money …
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 …
HONG KONG SFC RELEASES THEMATIC REVIEW REPORT ON ALTERNATIVE LIQUIDITY POOLS
Earlier this week, the SFC released a circular and a report in relation to its thematic review to assess compliance with the regulatory requirements for …
Hong Kong SFC publishes consultation conclusions and guidelines for reducing and mitigating hacking risks related to internet trading
On 27 October 2017, the Securities and Futures Commission (SFC) in Hong Kong issued a circular and Guidelines for Reducing and Mitigating Hacking Risks …