Sustainability Management: From ambition to impact
Publications
Articles, research and insights.
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Article 3 minutes read
SMCR compliance for solo-regulated firms
The Senior Managers and Certification Regime (SMCR) rollout is continuing, with solo-regulated firms falling under its scope from 9 December 2019.
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Article 5 minutes read
Interview with Wilson TANG - Chief Executive Officer - Hang Seng Insurance
ABOUT HANG SENG INSURANCE
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Article 7 minutes read
Stock market: Robo Advisors Performance & Consequences
The outbreak and rapid proliferation of the coronavirus pandemic rattled global financial markets in the first quarter of 2020.
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Article 9 minutes read
The EU Fifth AML Directive: Directive (EU) 2018/843
The fight against money laundering and terrorist financing has become increasingly difficult over the years with criminals having shown adaptability and opportunism in finding new channels to launder the proceeds of their illegal activities.
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Article 6 minutes read
OCC Guidance on Third Party Risk Management Practices
In June, the OCC updated their guidance on third party risk management to address the growing number of bank-fintech relationships.
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Article 5 minutes read
When FINRA asks to speak to your Supervisor…
FINRA requires all broker-dealers to have a supervisory framework in place that is “reasonably designed” to comply with applicable rules and regulations.