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08 Jul

RegDelta alert no 6: HKMA issuance of recovery planning guidelines

JWG analysis. Last month (20 June), the Hong Kong Monetary Authority issued a new Supervisory Policy Manual (SPM) on the topic of recovery planning (Module RE-1: Recovery Planning) following a consultation with Hong Kong’s two industry associations. This follows the Financial Stability Board’s push to implement standards in the area of recovery and resolutions plans Read More

09 Oct

Conduct risk explained: Fix the systems in 2014, or pay the fines

  • 9th October 2013
  • RegTechFS

Conduct risk is becoming something of a buzz word for regulators this year. In the UK, the FCA took over supervision of consumer protection from the FSA and published its Risk Outlook 2013 back in March, which outlined the new conduct risk regime. Since then, and coming on the back of the FSA’s MMR and Read More