FSR and Corporate Crime Notes

Hong Kong SFC launches key risk indicator platform to enhance risk monitoring

Last Friday, the Securities and Futures Commission (SFC) issued a circular to announce the launch of a key risk indicator (KRI) platform to collect and …

The month ahead in financial services regulatory developments…

Indonesia’s KPK ramps up Rolls-Royce investigation with key arrests and charges

Indonesia’s Corruption Eradication Commission (KPK) has charged Emirsyah Satar, the former head of state airline, Garuda, with money laundering and …

SFO Corporate Co-operation Guidance

On 6 August 2019 the UK Serious Fraud Office ("SFO") published its Corporate Co-operation Guidance which forms part of the SFO's internal Operational …

President Trump Issues New Executive Order Blocking Property of the Government of Venezuela

HMT Financial Services Future Regulatory Framework Review: call for evidence on regulatory coordination

Corporate Crime & Investigations Podcast Episode 1: Deferred Prosecution Agreements

ESMA publishes Report on licensing of FinTech business models

On 12 July, the European and Securities Markets Authority (ESMA) published its Report on the licensing of FinTech business models (the Report) as part of …

FCA publishes latest policy statement and near final rules on SMCR

On 26 July, the FCA published its latest policy statement (PS19/20) on the Senior Managers and Certification Regime (SMCR), together with the near-final …

Hong Kong Stock Exchange revises Listing Rules to tighten restrictions on backdoor listings

The Hong Kong Stock Exchange has finalised its proposed amendments to the Listing Rules to tighten restrictions on backdoor listings and continuing …

Commercial Court considers contractual discretion of bank to close customer account without notice where there is suspicion of money laundering

Cryptoassets: Personal account dealing policies and procedures