In the traditional banking world, organisations or individuals will find themselves subject to criminal sanction if they advertise, or provide advice to consumers about, investments or securities without a regulatory…
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Compliance Posts
Hong Kong remains at ‘high risk’ for laundering, says senior official
Hong Kong’s banking sector remains at “high risk” of being exploited for illicit fund flows, the territory’s most senior anti-money laundering (AML) official has warned. Carmen Chu, head of enforcement…
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IMPACT ANALYSIS: Big compliance challenges ahead in Asia — resources and regulatory overload
Compliance professionals indicated in a Regulatory Intelligence poll recently that their organisations are finding it increasingly hard to attract and retain suitably qualified staff. This shortage of skilled, experienced compliance…
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IMPACT ANALYSIS: MAS enforcement report reveals improvements in enforcement effectiveness
The Monetary Authority of Singapore (MAS) has released its enforcement report for the period July 2020 to December 2021. The report shows a marked improvement in MAS’ effectiveness in safeguarding…
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Singapore to assume FATF presidency
A senior international advisor at Singapore’s Ministry of Home Affairs is to become the first Singaporean to lead the Financial Action Task Force (FATF) since the city-state joined in 1992.…
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10 things compliance officers must do in the Asia-Pacific region in 2022
There has been a heightened regulatory focus in the Asia financial sector where regulators have shifted from a consultative supervisory approach to a more enforcement orientated one. There is zero…
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Singaporean, Malaysian regulators take action against corruption, money laundering
Regulators in Singapore and Malaysia have stepped up their efforts to tackle fraud and corruption cases, following a substantial increase in the instances of graft, forgery and other financial crimes…
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Compliance budgets set to remain steady in 2022, poll finds
Two thirds of compliance teams will have to make do with a stable budget in 2022, despite the more challenging risk landscape, a Regulatory Intelligence poll has found. The live…
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4 myths surrounding global disclosure management and software
Organisations that have not centralised global disclosure management and implemented purpose-built software are missing out.
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Silo-breaking tips for global statutory financial reporting
If you have decided to break silos and harmonise your process, then you have made an important step towards a faster, more efficient process.
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