Topic: Compliance

Subscribe to Compliance RSS feed

Withholding evidence on the ground of Common Law Public Interest Immunity in Singapore

Key takeaways The Singapore High Court recently confirmed in Mah Kiat Seng v Attorney-General [2021] SGHC 202 (Mah Kiat Seng) that the common law doctrine of public interest immunity remains part of Singapore law and was not superseded by the enactment of the Evidence Act (Cap. 97) (EA) in 1893. The Court also clarified how … Continue Reading

Leaders’ Declaration – G20 Riyadh Summit

On 22 November 2020, the G20 leaders issued a declaration following their summit in Riyadh on 21 – 22 November 2020. Paragraphs 16 to 18 of the declaration cover financial sector issues. Key points include: The pandemic has reaffirmed the need to enhance global cross-border payment arrangements to facilitate cheaper, faster, more inclusive and more … Continue Reading

FINRA’s Guidance to Broker-Dealers on Pandemic Preparedness (coronavirus, COVID-19)

In light of mounting concerns about COVID-19, aka the coronavirus, FINRA recently published FINRA Regulatory Notice 20-08 – Pandemic-Related Business Continuity Planning, Guidance and Regulatory Relief. Notice 20-08 provides both guidance on pandemic preparedness and regulatory relief to impacted member firms. Notice 20-08 supplements previous guidance on pandemic preparedness that FINRA published in October 2009 … Continue Reading
LexBlog