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Regulatory Updates
Client Alert - SFC Fines BISL (April 2020)
The SFC recently fined BOCOM International Securities (BISL) HK$19.6 million for internal control failures. For our full client alert which outlines the internal control breaches identified during the SFC's investigation of BISL, please click
here
LATEST UPDATES
New CIMA Rules & Statements of Guidance to Take Effect in October 2023
SFC’s Conclusion on its Consultation on Amendments to the Enforcement Related Provisions of the Securities and Futures Ordinance
Vietnam Added to Financial Action Task Force Grey List
SFC Posts June 2023 Edition of the AML:CFT Guideline
OFAC: Taking Aim at the Enablers of Russian Sanctions Evaders
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