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www.findknowdo.com/news/12/15/2022/doj-and-sec-charge-social-media-influencers-pump-and-dump-scheme 0
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January 2, 2023 webmaster
Regulatory, US
www.findknowdo.com/news/12/15/2022/pcaob-completes-first-inspections-china-based-accounting-firms Update:www.findknowdo.com/news/04/06/2023/sec-warns-potential-trading-prohibitions-securities-issued-a-pcaob-identified-jurisdictionwww.findknowdo.com/news/11/30/2023/china-based-accounting-firms-sanctioned-inaccurate-audits-and-personnel-failures 0
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December 30, 2022 webmaster
China, Corporate Law, Regulatory, US
www.dentons.com/en/insights/articles/2022/december/13/fca-extends-its-reach-on-non-financial-misconduct-outside-the-workplacewww.globalfinregblog.com/2022/12/the-fcas-approach-to-non-financial-misconduct-a-further-twist/#page=1www.osborneclarke.com/insights/fca-continues-focus-non-financial-misconduct-and-firm-culture-ukFCA and PRA introduce new guidance on non-financial misconduct in the context of the Conduct Rules, Fitness & Propriety and the Suitability Threshold Condition | 观点 | 礼德律师事务所 (reedsmith.com) See also:tinyurl.com/32sydbpytinyurl.com/5bc3srewWorkplace culture and the impact of non-financial services misconduct, Kerry Berchem (burges-salmon.com)www.hfw.com/Insurance-Bulletin-March-2024 Update:Non-financial misconduct – new proposed FCA...
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December 29, 2022 webmaster
Banking, Regulatory, UK
www.mayerbrown.com/en/perspectives-events/publications/2022/12/hong-kong-passage-of-anti-money-laundering-and-counter-terrorist-financing-amendment-bill-2022www.kwm.com/hk/en/insights/latest-thinking/AMLO_Bill_passed.htmlwww.info.gov.hk/gia/general/202212/07/P2022120700263.htmwww.hkma.gov.hk/media/eng/doc/key-information/guidelines-and-circular/2022/20221207e1.pdfwww.technologyslegaledge.com/2022/12/hong-kong-provides-long-awaited-policy-and-regulatory-updates-on-virtual-assets/#page=1www.deacons.com/2024/04/08/deacons-fintech-legal-guide-anti-money-laundering/#page=1 Update:www.kwm.com/hk/en/insights/latest-thinking/HKMA-releases-amended-AML-CFT-Guideline-as-revised-law-comes-into-force.html 0
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December 29, 2022 webmaster
Hong Kong, Money Laundring, Regulatory
www.findknowdo.com/news/12/12/2022/sec-extends-no-action-position-broker-dealer-aml-reliance-advisers 0
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December 29, 2022 webmaster
Banking, Money Laundring, Regulatory, US
www.zhonglun.com/Content/2022/12-09/1829387889.html 0
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December 29, 2022 webmaster
Banking, China, Regulatory
www.consumerfinanceandfintechblog.com/2022/12/cfpb-targets-financial-services-company-for-deceptive-advertising/#page=1www.cadwalader.com/fin-news/index.php?nid=40&eid=309 0
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December 28, 2022 webmaster
Banking, Regulatory, US
www.skrine.com/insights/alerts/december-2022/bank-negara-malaysia-issues-policy-document-on-cli 0
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December 26, 2022 webmaster
Banking, ESG Investments, Malaysia, Regulatory, Risk Management
www.dacbeachcroft.com/en/gb/articles/2022/december/overview-of-israel-s-newly-proposed-guidelines-for-regulating-digital-assets/ 0
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December 26, 2022 webmaster
Crypto Currencies, Israel, Regulatory
www.morton-fraser.com/insights/are-uk-beneficial-ownership-registers-incompatible-fundamental-human-rights See also:tinyurl.com/mt4hhbnytinyurl.com/msxe427s 0
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December 26, 2022 webmaster
Ownership, Regulatory, Transparency, UK