Overview of key risks, outline regulatory frameworks, practical guidance for Firms on Anti-Bribery Corruption, Training, Best Practice

Please be reminded that there is an updated BRMQ for year ends starting from 30th November 2023 with a number of new questions. Business...

Updates to Anti-Money Laundering and Counterterrorist Financing for SFC regulated firms in Hong Kong in 2023, Summary of SFC circulars, FATF

Operational Resilience, Exit Plans, Contingency, Continuity, Cybersecurity, Data Loss, Incident Response Plan

Some highlights from enforcement and SFC updates for Quarter 2 (originally distributed in July) We typically issue newsletter updates at...

These are just some of things we raised in our newsletter update earlier this summer and thought that some of our wider contacts might be...

The SFC published its Consultation Conclusion on the “Proposed Enhancements to the Competency Framework for Intermediaries and Individual...

Risk based compliance programmes require engagement with stakeholders every so often to make sure that they are not completely off...