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Regulatory Insights
CA Regulatory Update - MAS Reprimands AIA Financial Advisers Prudential and Two Aviva Entities (June 2021)
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CA Regulatory Update - SFC suspends Lun Sheung Nim for 7.2 months (June 2021)
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Hong Kong Regulatory Update - FSTB Published Consultation Conclusions on VASP Licensing Regime (June 2021)
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Hong Kong Update - IA Takes First Disciplinary Action (May 2021)
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MAS circular on new reporting obligations of significant redemption, gating and suspension of funds (May 2021)
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ComplianceAsia Regulatory Update - SFC pushes Covid Vaccine for Risk Management (June 2021)
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ComplianceAsia Regulatory Update - Ewarton Misconduct Fine (May 2021)
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Regulatory Update on Terms of Greater Bay Area Wealth Connect Scheme (May 2021)
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LATEST UPDATES
Hong Kong Regulatory Update- Exchange Traded Funds to be Included in Mainland China and Hong Kong Stock Connect Programme (May 2022)
ComplianceAsia Regulatory Tracking - 2022 Q1
Regulatory Update - Current Situation in Relation to Foreign Financial Service Providers (FFSPs) in Australia (March 2022)
ComplianceAsia Regulatory Tracking - 2021 Q4
Singapore Regulatory Update – MAS Issues Guidelines To Discourage Crypto Trading By Public (January 2022)
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