AUSTRAC’s AML/CFT Rules Expectations: Is Your Firm Prepared? AUSTRAC has outlined its expectations for how firms should prepare for the phased implementation of... READ MORE
AML/CFT Compliance in Focus: Japan FSA Validation Expectations Japan’s Financial Services Agency (FSA) has finalised its Discussion Paper on “Issues and Practices... READ MORE
SFC Issues 3-Year Ban of Former Licensee Over Trading Conduct Hong Kong’s Securities and Futures Commission (SFC) has banned a former licensed representative of... READ MORE
ASIFMA Capital Markets Update: APAC's Challenges and Optimism The Asia-Pacific (APAC) region continues to draw the attention of global financial firms. The... READ MORE
Conviction of Former Judge Over Insider Trading in Japan The Tokyo District Court has sentenced a former judge to 2 years imprisonment, suspended for 4... READ MORE
Procurement to Prosecution: S$2.4m Bribery Scheme Exposed Singapore’s CPIB exposes a major corruption scheme funnelling millions through procurement fraud,... READ MORE
SFC Market Sounding Guidelines: What Firms Need to Know Hong Kong’s market sounding regime is now more formalized. The Securities and Futures Commission’s... READ MORE
Steering Clear of Insider Trading: Chauffeur's Wife Fined $107K A recent case in Hong Kong has sent a clear signal to financial firms about the dangers of failing... READ MORE
Unpacking APRA and ASIC’s Observations of FAR Implementations The Australian Prudential Regulation Authority (APRA) and the Australian Securities and Investments... READ MORE
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