- Posts in 2016
The Knowledge Series - Regional Regulatory Themes: What Have We Seen In 2016 and What Can We Expect in 2017?
In the 10th issue of the Knowledge Series, we look at the key regulatory themes of the past year and what we can expect in 2017, including Embedding Compliance into the Corporate Culture of Regulated Firms, Product Governance, AML, CTF and Sanctions, Cybercrime, Client Classification and Suitability, Data Protection and Costs of Compliance
This edition includes - First Equity Crowdfunding Platform Receives DFSA Licence, ADGM Launch RegLab, UAE Central Bank and Bank of Algeria Sign MoU, AUSTRAC and CAMLMAC Sign MoU, Jordan Kuwait Bank Fined by Central Bank of Cyprus
This edition includes - Seven NBFCs Surrender their Certificate of Registration, Proceedings Initiated by SEBI against Five Commodity Brokers, SEBI Grants Approval to the Bombay Stock Exchange (BSE) to Set Up a Global Exchange
Issue 9 in the Knowledge Series looks at the importance of structuring the Compliance function in a way which is relevant to the business and effective in meeting compliance objectives.
In this month's edition, DFSA Accept EU from Rasmala Investment Bank Limited, Listed Companies in Saudi to Use IFRS, FinCEN Issue Advisory on Cybercrime and FATF Release Publication on Beneficial Ownership
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