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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 …
HKMA turns up the heat and announces consultation on IBOR transition
On 12 February 2019, the Hong Kong Monetary Authority (HKMA) announced in a briefing to the Legislative Council Panel on Financial Affairs that the …
The Regulators
The Final Report has been released and for those who followed the public hearings, the recommendations are not surprising. The regulators, ASIC and APRA, …
Community expectations are here to stay
To deny the role that community expectations will play post-Royal Commission is, with respect, a flat-Earther perspective.One of the most significant …
Superannuation and group life insurance
The Royal Commission was widely expected to bring the superannuation industry to its knees, and certainly there are findings that make sobering …
Financial Advice and Distribution
The Final Report of the Royal Commission has been released and its recommendations will fundamentally change financial advice and the distribution of …
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). …
ASIC confirms intention to create foreign ASFL regime and modify limited connection relief
Executive summary Following submissions made this year in response to CP 301, the Australian Securities & Investments Commission (ASIC) confirmed on …
High Court clarifies uncertainty surrounding amendment of registered scheme constitutions
The High Court’s decision in Australian Securities and Investments Commission v Lewski [2018] HCA 63 has clarified the uncertainty around the meaning of …
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 …
Casting the regulatory net over virtual assets – new regulation in Hong Kong for crypto fund managers, fund distributors and trading platforms
Yesterday, the Securities and Futures Commission (SFC) published a statement (Statement), together with a press release, setting out its new regulatory …
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