Tag: due diligence
Showing 6 out of 6 results
27 March 2025
Navigating the Future of AML/CFT: EBA's Draft RTS Consultation
28 September 2022
Digital due diligence – SFC shines regulatory spotlight on Hong Kong online platforms in latest review report
18 June 2020
IOSCO proposes updated Outsourcing Principles as Covid-19 drives operational resilience to the top of the agenda
04 March 2019
The importance of supply chain due diligence and the risks of modern slavery – OFAC settles North Korean sanctions case with fine
Authors: Kyle Wombolt, Jeremy Birch, Antony Crockett and Emily Purvis. A recent enforcement action by the US Department of the Treasury’s Office of …
13 September 2018
SFC publishes AML/CFT inspection findings and urges intermediaries to ensure compliance
The Securities and Futures Commission (SFC) issued a circular on 31 August 2018 highlighting both deficiencies and good practices observed in relation to …
21 September 2014
Hong Kong: former responsible officer of SHKI suspended for sponsor-related failures
The Securities and Futures Commission (SFC) has suspended Mr. Eric Shum Kam Chi as a representative in all regulated activities and withdrawn approval …