FSR and Corporate Crime Notes

HKMA shares initial observations from banks’ self-assessment on culture

The Hong Kong Monetary Authority (HKMA)’s executive director for banking conduct, Mr Alan Au, recently delivered a speech on bank culture at the 1LoD …

LIBOR transition: Regulators expect firms to accelerate preparations for end-2021

Regulation in Focus Podcast Episode 3 – January 2020

FCA reports on asset management risk modelling and portfolio management tools for operational resilience

Malaysia joins digital banking revolution – Bank Negara Malaysia issues Exposure Draft on Licensing Framework for Digital Banks

On 27 December 2019, Bank Negara Malaysia (BNM) issued an exposure draft on the Licensing Framework for Digital Banks (Exposure Draft). According to BNM, …

SFC clarifies licensing obligations of PE firms and family offices which conduct business in Hong Kong

On 7 January 2020, the Securities and Futures Commission (SFC) issued two circulars to clarify aspects of the licensing obligations applicable to private …

Happy New Year – Happy New Money Laundering Regulations

FCA warns CEOs to tackle non-financial misconduct

SFO secures sixth DPA

Are you ready to be licensed? MAS issues payment service provider licence application forms

As 2019 draws to a close, the Monetary Authority of Singapore (MAS) has been busy putting the finishing touches on its new regulatory framework for …

Regulation in Focus Podcast Episode 2 – December 2019

High Court finds privilege not lost despite document being referred to in open court