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Regulations & Guidances

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Hong Kong Guideline on Anti-Money Laundering

  • Industry: Banking and Financial Services

This guideline, issued by the Hong Kong Monetary Authority (HKMA), provides a practical guidance to Financial Institutions (FI) in designing and implementing policies, procedures and controls to meet the relevant AML/CFT statutory and regulatory requirements.

APRA Prudential Standard APS 231 – Outsourcing

  • Industry: Banking and Financial Services

This APRA Prudential standard requires regulated institutions to carry out appropriate due diligence and monitoring of their outsourcing arrangements. The standard requires that regulated institutions have a board-approved policy, legally binding agreements and managing processes for outsourcing of material businesses. It also calls for consulting and notifying the APRA before regulated institutions enters into these outsourcing arrangements.

APRA Prudential Standard CPS 232 - Business Continuity Management

  • Industry: Banking and Financial Services

This APRA Prudential Standard requires regulated institutions to manage and monitor potential business continuity risks and that the respective boards of these institutions consider business continuity risks as a part of the entire risk management system.

APRA Prudential Standard GPS 310 – Audit and Related Matters

  • Industry: Banking and Financial Services

The APRA Prudential Standard GPS 310 requires Authorized Deposit-taking Institutions (ADIs) to provide the Australian Prudential Regulation Authority (APRA) access to independent advice from an auditor on matters relating to ADI operations and internal control processes.

APRA Prudential Standard APS 222 - Associations with Related Entities

  • Industry: Banking and Financial Services

This Australian Prudential Standard requires Authorized Deposit-taking Institutions (ADIs) to manage, monitor and control the potential contagion risks which arise due the ADIs being a part of a conglomerate or a corporate group and the dealings between the ADIs and members of these conglomerates or groups.

APRA Prudential Standard GPS 220 Risk Management

  • Industry: Banking and Financial Services

This Australian Prudential Standard sets out the requirements for a general insurer and a Level 2 insurance group to maintain a risk management framework and strategy that is appropriate to the nature and scale of its operations.

Monetary Authority of Singapore Guidelines on Fit and Proper Persons

  • Industry: Banking and Financial Services

These Guidelines set out the fit and proper criteria applicable to all relevant persons associated with carrying out of any activity regulated by the Monetary Authority of Singapore (MAS).

  • The objective of this Guideline is to ensure that the relevant person performs the regulated activities efficiently, honestly, fairly and acts in the best interests of its or his stakeholders and customers.

Malaysia Guidelines on Risk Governance

  • Industry: Banking and Financial Services

This policy document on Risk Governance sets out a framework of principles to guide the board and senior management in effectively performing their risk oversight and risk control functions. These guidelines are applicable to all financial institutions. The major objective of these Guidelines is to ensure safe and sound operations of financial institutions.

Malaysia Guidelines on Data Management and MIS Framework

  • Industry: Banking and Financial Services

Bank Negara Malaysia (BNM) has set out these Guidelines on Data Management and Management Information System (MIS) which outline high level guiding principles on sound data management and MIS practices that should be observed by financial institutions.

Malaysia Guidelines on Fit and Proper for Key Responsible Persons

  • Industry: Banking and Financial Services

These guidelines implemented by the Bank Negara Malaysia (BNM) define the requirements on the obligations of financial institutions (FI) to assess and determine the fitness and propriety of key responsible persons. The major objective of these guidelines is to ensure that the financial institution is led by persons of integrity, credibility, and competency.

Thailand Guidelines on Disclosure of Information by Listed Companies

  • Industry: Corporate Governance

For the purpose of an active, fair and orderly market, the Stock Exchange of Thailand (SET) has outlined these guidelines on disclosure of public information by listed companies for informed investing on securities.

Singapore Risk Management Guidelines for Board of Directors and Senior Management

  • Industry: Banking and Financial Services

Monetary Authority of Singapore (MAS) introduced these guidelines on risk management practices for an institution’s board of directors and senior management. The board of directors and senior management play pivotal roles in ensuring a sound risk management culture and environment. These guidelines are applicable to all financial institutions.

Malaysia Guidelines on Conduct of Money Services Business - Operation and Governance

  • Industry: Banking and Financial Services

Malaysia introduced these guidelines with the aim of maintaining sound governance and operational arrangements in Money Services Businesses (MSB) as well as strengthening consumer protection. All licensees should ensure compliance with these guidelines.

Malaysia – Guidelines for Introduction of New Banking Products

  • Industry: Banking and Financial Services

The Monetary Authority of Singapore published its Internet Banking and Technology Risk Management guidelines in June 2008.

Malaysia Banks Guidelines on Stress Testing

  • Industry: Banking and Financial Services

Bank Negara Malaysia (BNM) implemented stress testing guidelines for banks in the country in 2007. These guidelines emphasize the importance of stress testing as a risk management tool.

Malaysia Islamic Banks – Guidelines on Appointment of External Auditors

  • Industry: Banking and Financial Services

Malaysia released these guidelines to help clearly set out the role and responsibility of the board of directors of Islamic banks in appointing external auditors. The guidelines apply to all Islamic banks licensed under the Islamic Banking Act (IBA). They supersede the circular dated 8 August 2003, titled “Pelantikan Juruaudit Luar menurut Seksyen 17 Akta Bank Islam 1983”.

SEC Netflix Investigation Report Social Media Disclosures 2013

  • Industry: Banking and Financial Services

SEC investigation report into inappropriate use of Facebook by Reed Hastings, Netflix CEO, to disclose company information and announcement approving use of social media for disclosures.

Singapore Internet Banking and Technology Risk Management Guidelines

  • Industry: Banking and Financial Services

The Monetary Authority of Singapore published its Internet Banking and Technology Risk Management guidelines in June 2008.

Singapore Business Continuity Management Guidelines

  • Industry: Banking and Financial Services

The Monetary Authority of Singapore published its Business Continuity Management guidelines in 2003. These guidelines consist of sound BCM principles that businesses should adopt in order to ensure business recovery and preparedness in case of any disruption to their operations.

Malaysia Code of Corporate Governance 2012

  • Industry: Banking and Financial Services

The Malaysian Code on Corporate Governance 2012 (MCCG 2012) focuses on strengthening board structure and composition as well as recognizing the role of directors as active and responsible fiduciaries. The MCCG 2012 supersedes the 2007 Code. It sets out eight broad principles and 26 specific recommendations on structures and processes which companies should adopt in making good corporate governance an integral part of their business dealings and culture.

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