The Australian Securities and Investments Commission (ASIC) has finalised its criminal investigations into the alleged “fees for no service” conduct by AMP.
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Chief Risk Officer Posts
Transaction monitoring must sit at heart of AML compliance, says top enforcement lawyer
Regulators will seek evidence of a nuanced and comprehensive transaction monitoring program when they undertake supervision and enforcement work.
Read moreFintech, regtech and the role of compliance survey for 2022
Financial services firms adopting new ways of working supported by emerging iterations of fintech, regtech and insurtech.
Read moreWhy trade penalties and economic coercion aren’t working
The Australian Prime Minister and Treasurer will have to try a new approach if they are to change course in the country’s relationship with China.
Read moreCryptos on the rise
The benefits and challenges of cryptos together with an overview of the regulatory landscape for cryptocurrencies such as bitcoin.
Read morePODCAST: Compliance considerations for antitrust enforcement
The Thomson Reuters Regulatory Intelligence podcast series “Compliance Clarified” covers a wide range of topics that are relevant to compliance officers in financial services firms. Antitrust enforcement actions against technology…
Read moreBLOG: APAC regional spotlight from Cost of Compliance 2021: shaping the future
Thomson Reuters Regulatory Intelligence has carried out its 12th annual survey on the cost of compliance focusing on the challenges the compliance functions at financial services firms around the world expect to face in the year ahead.
Read moreCost of Compliance 2021: Shaping the Future
Thomson Reuters Regulatory Intelligence has carried out its 12th annual survey on the cost of compliance, focusing on the challenges the compliance functions at financial services firms around the world expect to face in the year ahead.…
Read moreNew Zealand central bank has failed on AML/CFT supervision, says FATF
The Financial Action Task Force has criticised New Zealand’s Reserve Bank for their supervision of the banking sector, despite an overwhelmingly positive national review.
Read moreCredit Suisse board knew about cumulative risk weaknesses
The multibillion dollar losses suffered by Credit Suisse following the collapse of Greensill Capital and Archegos Capital may well rank among the most significant risk and compliance failures of the past decade.
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