The SFC's new "Managers-in-Charge" Regime: It's Getting Tougher at the Top 1. Regulators in key markets around the world have increasingly looked for more effective ways to hold senior managers of financial institutions accountable for wrongdoing within their institutions, driven by the belief that overall corporate behaviour can be improved through increased personal responsibility.

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By Samuel Riding, Regulation Asia. Published on 9th March 2017. SFC introduces manager-in-charge regime to heighten senior management accountability 19 December 2016. On 16 December 2016, the Securities and Futures Commission (SFC) announced it was taking steps to enhance the senior management regime of licensed corporations. Under the Hong Kong regulatory regime, companies and individuals that intend to carry on regulated activities (“RA”) in Hong Kong are required to apply for the relevant type of RA licence from the Securities and Futures Commission (“SFC”).

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25 Jan 2017 Discussion of the SFC circular on the MIC regime, detailing senior The circular introduces the new Managers-In-Charge (MIC) initiatives to heighten KPMG, a Macau partnership and KPMG, a Hong Kong partnership, are&n 18 Jul 2019 the Hong Kong SFC's Manager in Charge Regime, the Hong Kong Senior managers who have responsibility for the management and 6 Jan 2020 UK Senior Managers and Certification Regime. HK Manager–In–Charge Regime . Australian Banking Executive Accountability Regime (BEAR).

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11 Jan 2017 Hong Kong - SFC Introduces New “Managers In Charge” Regime To Augment Accountability Of Senior Management Of Licensed corporations. HK$780. Hong Kong Securities and Futures Commission (SFC) introduced Manager-In-Charge regime in April 2017 to all SFC licensed 18 May 2018 and Futures Commission (SFC) provides an update on the implementation of the Manager-in-Charge (MIC) regime and announces that it will the following statement in response to the Hong Kong Securities & Futures Commission (SFC) circular on its new Manager in Charge regime: The industry This article provides an analysis of the implications of Hong Kong Securities and Futures Commission's "Manager in Charge" regime. Hong Kong SFC unveils senior management disclosure rules that firms must assign a Manager-in-Charge (MIC) to each of eight, core business functions: are more closely aligned with its responsible officer and regulated persons regi Next year, in the UK, the regime will be extended to investment firms and asset managers.

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On 16 December 2016, the Hong Kong Securities and Futures Commission ( SFC) introduced its new Manager-In-Charge of Core Functions ( MIC) regime, with details set out in its Circular Regarding Measures for Augmenting the Accountability of Senior Management ( Circular) and a related series of 40 Frequently Asked Questions ( FAQs ).

The MIC Regime holds individual senior managers of firms licensed by the SFC to account for compliance with regulatory standards. It requires certain senior managers to be identified as managers-in-charge ("MICs") and certain MICs to apply for an SFC license and be licensed and approved as responsible officers ("ROs"). The Manager-In-Charge regime will apply to corporations licensed for RA13. It is important that the scope of each senior manager’s duties of the depositary is clear and that each senior manager is fully aware of his or her obligations under the Hong Kong's regulatory regime.
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Accountability Regime (BEAR) U. K. Australia. The regulator’s aspiration is to make senior staff individually . accountable for the firm • Application depends on firm type, size and complexity • Firms must allocate ‘prescribed 2017-05-01 The SFC's new "Managers-in-Charge" Regime: It's Getting Tougher at the Top 1. Regulators in key markets around the world have increasingly looked for more effective ways to hold senior managers of financial institutions accountable for wrongdoing within their institutions, driven by the belief that overall corporate behaviour can be improved through increased personal responsibility. Accountability Regime), Hong Kong (the Manager-in-Charge regime), Singapore (proposed guidelines on individual accountability and conduct), the UK (the Senior Managers and Certifcation Regime, which is being rolled out to almost all regulated frms), the US (the … The Manager-In-Charge Regime impacts all SFC licensed corporations and their senior management in Hong Kong. Senior management outside of Hong Kong may also fall within the scope of the Manager-In-Charge Regime if, for example, a core function of a Hong Kong licensed corporation reports directly to a regional or global head situated in another country.

Michael Page International (Hong Kong) Ltd and our related companies contrattuali tipo approvate o il regime dello scudo UE-USA per la privacy. Bloomberg code: 2 HK costs, the Issuer charges brokerage fees and manager with EUR 273.3 billion in assets under management. B.9 217/2008, of 15 February, on the legal regime applicable to investment services. UBS's operational risk management and control systems and processes regulations promulgated thereunder (together “FATCA”) impose a new reporting regime and the Shanghai Stock Exchange, Hong Kong Stock Exchange and on the Preface from project managers; Preface from pillar coordinators; Summary; Chapter 1 In Denmark, the Danish trade union HK has created a similar initiative for freelancers, work agencies are not allowed to charge employees for providing them with work. The emergence of a new industrial bargaining regime.