Showing 36 out of 58 results
The new regulatory regime for insurance intermediaries in Hong Kong – are you ready for 23 September 2019?
On 23 September 2019, the new statutory regime for the regulation of insurance intermediaries will take effect.This represents the final stage of …
FATF and APG publish long-awaited mutual evaluation report on Hong Kong
Following the Financial Action Task Force (FATF) and the Asia/Pacific Group on Money Laundering’s inspection of Hong Kong in October and November 2018, …
Product Intervention Powers and Design and Distribution Obligations in Financial Services: A cross-border perspective
Many regulators view their ability to intervene as one of their key supervisory tools to reduce harm in cases where there is a risk of significant …
Disclosure of internal investigations – the Hong Kong SFC’s FAQs fail to relieve industry concerns
The Hong Kong Securities and Futures Commission (SFC) has released frequently-asked questions (FAQs) to clarify its Internal Investigation Disclosure …
Latest Shake-up of the Remuneration Provisions for Banks and Investment Firms Part 2: Banks and credit institutions
After over two years of debate, agreement has finally been reached on the proposed directive amending the Capital Requirements Directive (which is …
Latest Shake-up of the Remuneration Provisions for Banks and Investment Firms Part 1: Investment Firms
Agreement has now been reached between the European Parliament, the Commission and the Council on the final texts of two Directives which will impact on …
New Whistleblower laws: what you need to be thinking about
Whistleblower reform is underway in Australia after the Treasury Laws Amendment (Enhancing Whistleblower Protections) Bill 2017 (Bill) was passed on 19 …
Governance: The new age of leadership
Recent shareholder action against executive remuneration, the expansion of APRA’s ambit to include a greater focus on culture and remuneration, the …
Fund and asset management: Getting back to basics
The Final Report contains a series of recommendations which, when implemented, will require fund and asset management firms to reassess their …
SFC seeks to halt "rolling bad apples" in their tracks with licensing reforms
On 1 February 2019, the Securities and Futures Commission (SFC) announced significant changes to its licensing forms and processes (Licensing Reforms). …
Renewed focus on compensation to address misconduct risk
The Financial Stability Board (FSB) released on 23 November 2018 its recommendations on the types of data regulators should be collecting from financial …
Hong Kong enters new era of smart banking with launch of open API framework
Late last week, the HKMA announced that it had concluded a consultation on its intended approach to open application programming interface (API) for the …
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