This edition includes - RBI Signs MoU with the Central Bank of Myanmar, SEBI Introduces Online System for Investment Advisers and Research Analysts, Government Plans to Take Away RBI's Debt Management Role in Two Years, SEBI Considering a Ban on Social Media Stock Tips, Trading Games
In the 8th Issue of the Knowledge Series, we look at the growing importance of conduct risk and how to approach it.
This edition includes - DFSA Fine Clements (Dubai) Limited, Iran Backtrack on FATF Action Plan and Transactional Criminal Organisation Identified in Vancouver
This edition includes - Temporary Suspension in Grant of Authorisations for Prepaid Payment Instrument (PPI) Issuance, Dr. Urjit R. Patel Takes Over as RBI Governor, 15 circulars for SEBI regulated firms and RBI considers offering Islamic finance through non-bank channels
Issue 7 in The Knowledge Series looks at the purpose of compliance training and whether or not it can change employee behaviour.
This edition includes - RBI Identifies SBI and ICICI Bank as D-SIBs in 2016, SEBI Signs a Bilateral Memorandum of Understanding with Abu Dhabi Global Markets Financial Services Regulatory Authority, Urjit Patel to Succeed Raghuram Rajan as Reserve Bank Governor
This edition includes - DFSA Sign MoU with ADGM FRSA, Saudi CMA to Adopt Updated FAQ’s Forms, 2016 Basel AML Index Published, New Zealand Develop Anti-Money Laundering Legislation, Southeast Asia Hold Counter-Terrorism Financing Summit
Issue 6 in the Knowledge Series looks at Risk-Based Resource Planning and Allocation.
This edition includes - DFSA release two Consultation Papers, US Pushes Bills to Increase Counter-Terrorism Financing Efforts, EC Publishes New Rules and Country Risk List and NBAD and FGB to merge.
This edition includes - Tradability of Sovereign Gold Bonds, RBI Holds 29th Annual Conference of State Finance, Secretaries, RBI Sets up Fraud Monitoring Cell, One Hundred Twelve Entities Banned by SEBI for Tax Evasion and Money Laundering Offences
This edition includes - DFSA release CP 106 and 107, SEC Fine Firm for SAR Failings, Nordea Bank Investigated for AML Failings and Big Four Auditing Firms’ Services Banned in Saudi
This edition includes - RBI Revises Guidelines on Ownership/Shareholding in Private Sector Banks, Approval for MoU Between RBI, Central Bank of UAE, SEBI Contemplating Delisting of 4,200 Firms