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Regulatory Updates

Singapore Regulatory Update – Environmental Risk Management Guidelines for Asset Managers in Singapore (October 2021)

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Hong Kong Regulatory Update – Revised Financial Return Form Takes Effect on 1 January 2022 (October 2021)

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ComplianceAsia Regulatory Update: Disclosure of Climate-related Risks for Fund Managers

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Hong Kong Regulatory Update – SFC Fines UBS AG and UBS Securities Asia Limited $11.55 million for regulatory breaches (August 2021)

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Singapore Regulatory Update - MAS Seeks to Enhance its Investigative Powers (August 2021)

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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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