Mitigate Risk During the Gift-Giving Season and Beyond The holiday season will be here before we know it! And that means gifts and entertainment... READ MORE
SFC Issues 6-Month Ban for Fit and Proper Requirements Failure The Securities & Futures Commission of Hong Kong (SFC) issues a 6-month ban on a trader for... READ MORE
Top Ten Reasons Why We Love Compliance Officers In honor of National Compliance Officer's Day, we wanted to share the many reasons why we love... READ MORE
Hong Kong’s SFC Imposes Life Ban on Former Associate Director Hong Kong’s Securities and Futures Commission (SFC) has imposed a lifetime ban on a former... READ MORE
APRA and ASIC Superannuation Roundtable Insights & Outcomes APRA and ASIC hosted Superannuation CEO Roundtables in June and July 2024, focusing on a central... READ MORE
The 1MDB Scandal: A Case Study in PEP and Corruption Risk In the world of finance, risk from politically exposed persons (PEPs) is significant. The... READ MORE
Brisbane Financial Adviser Sentenced to 12 Years Imprisonment A former financial adviser and director of a financial institution (FI) in Brisbane, Australia, has... READ MORE
Challenges of Compliance Monitoring for Smaller Firms Staying on top of the latest regulatory developments in the financial services industry to maintain... READ MORE
Bill Passed to Boost Singapore's Fight Against Money Laundering Singapore’s Parliament has passed the Anti-Money Laundering (AML) and Other Matters Bill, a crucial... READ MORE
