Tag: self reporting
Showing 4 out of 4 results
02 November 2023
Herbert Smith Freehills contributes chapter to GIR Guide to Anti-Money Laundering: Representing financial institutions in global multi-agency AML investigations
21 September 2018
SFC issues further reminder regarding paragraph 12.5 self-reporting obligation
The SFC has issued a circular to remind intermediaries to comply with the self-reporting obligation under paragraph 12.5 of the Code of Conduct for …
01 December 2017
DOJ ENHANCES AND MAKES PERMANENT FCPA SELF-DISCLOSURE PILOT PROGRAM
On November 29, 2017, the US Department of Justice (DOJ) announced that the Pilot Program it launched in 2016 to encourage companies to self-report …
07 August 2015
Hefty fine as HK SFC steps up scrutiny of intermediaries' compliance with self-reporting obligations
On 30 July 2015, the Hong Kong Securities and Futures Commission (SFC) announced that it had reprimanded and fined Nomura International (Hong Kong) …