Emily Rumble
Herbert Smith Freehills LLP
Articles
SFC releases FAQs simplifying compliance with electronic data storage requirements - But is it really as simple as it looks?
Hong Kong - December 14 2020 The Hong Kong Securities and Futures Commission (SFC) has released its long awaited FAQs regarding its 31 October 2019 circular on the use of…
A step towards increased AML/CTF enforcement? SFC consults on enhancements to AML/CTF guidelines
Hong Kong - October 7 2020 On 18 September 2020, the Securities and Futures Commission (SFC)commenced a three month consultation on a wide range of proposed changes to its…
Regulators lead businesses in monitoring of misconduct
Australia, Hong Kong, USA - July 21 2020 As regulators and law enforcement increasingly rely on advanced data analytics for monitoring and surveillance, the risk is growing that they will…
IOSCO proposes updated Outsourcing Principles as Covid-19 drives operational resilience to the top of the agenda
Global - June 18 2020 In common with some regional and national authorities among its membership, IOSCO has found that much has changed since its original efforts to…
Hannah Cassidy, Clive Cunningham, Natalie Curtis, Cat Dankos, William Hallatt, Nick Pantlin, Andrew Procter, Wendy Saunders, Jenny Stainsby
Hong Kong Monetary Authority proposes mandatory reference checking scheme to address “rolling bad apples” phenomenon
Hong Kong - May 14 2020 On 8 May 2020, the Hong Kong Monetary Authority (HKMA) commenced a three-month industry consultation on a proposed framework for a mandatory…
Hannah Cassidy, Natalie Curtis, William Hallatt, Tess Lumsdaine, Valerie Tao
