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| Legend | |
|---|---|
| ComplianceAsia Events | |
| Hong Kong SFC Events | |
| Monetary Authority of Singapore Events | |
| Japanese Regulatory Events |
Posterboard
Month 
Week 
Day 
Agenda 
Intended Date for Tax Crimes to Become Predicate Money Laundering Offence
@ Singapore
July 1, 2013 all-day
Tax Crimes to become predicate Money Laundering Offence pending consultation paper and amendments. The consultation paper may be found on the MAS website here.
Trust Bank’s oversighting systems in DIM are implemented
July 1, 2013 all-day
Implementation of systems for Trust Bank to receive NAV and external Audit Report, by DIM. Implementation of reconciliation of NAVs from DIM, Audit Report and [...]
Responses due for “Consultation Paper on the Proposed Amendments to the Professional Investor Regime and the Client Agreement Requirements”
@ Hong Kong
August 14, 2013 all-day
The Securities and Futures Commission of Hong Kong is seeking to amend the professional investment regime by requiring intermediaries to apply suitability requirements to all [...]
New Code of Conduct for Persons Persons Licensed by or Registered with the Securities and Futures Commission
@ Hong Kong
January 1, 2014 all-day
A new Code of Conduct will come into effect on 1 January 2014 to encompass regulations set out in the Securities and Futures Commission’s new [...]
New Fund Manager Code of Conduct
@ Hong Kong
January 1, 2014 all-day
A new Fund Manager Code of Conduct will come into force on 1 January 2014 following the new regulatory regime set out by the Securities [...]
