A Guide to Financial Services Regulators and Compliance Regulations in the Middle East Compliance requirements across the Middle East continue to expand in scope and complexity for banks... READ MORE
UAE Compliance Crackdown: The Implications of Increasing Enforcement In 2025, the Central Bank of the UAE (CBUAE) launched one of its most aggressive enforcement... 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
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
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
ASIC Action Results in $1.25 Million Fine of “Licensee for Hire” Firm The Australian Federal Court recently issued a staggering $1.25 million penalty against a wholesale... READ MORE
MAS Bill Set to Enhance Investigative and Supervisory Powers The Financial Institutions (Miscellaneous Amendments) Bill, or FIMA Bill, aims to enhance the... READ MORE
MAS Revises FAA and SFA Competency Requirements The Monetary Authority of Singapore (MAS) has finalised its revision of competency requirements for... READ MORE
