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The Companies Auditors Disciplinary Board imposed a three-year suspension and reprimand on a former PKF Brisbane partner for MIS audit failures. The action signals continued regulatory focus on auditor conduct in managed investment schemes and partner-level accountability.
Required Action
Review audit quality controls and MIS audit engagement oversight, ensuring partner accountability and remediation of identified deficiencies.
Fraudsters are exploiting the FPS brand via fake 'Buyer Online Protection' sites to intercept refunds and impersonate customer service. Banks should reinforce customer education and detection controls around FPS-related refund and dispute flows.
Required Action
Update fraud typology libraries, alert customers, and monitor FPS transactions for related social engineering scams.
HKMA is escalating warnings on scams targeting bank customers through fraudulent websites and phishing communications. Banks are reminded that they do not send SMS or emails with embedded transactional hyperlinks, reinforcing customer authentication norms.
Required Action
Review anti-phishing controls, customer communication protocols, and fraud detection workflows for retail banking channels.
The Tribunal confirmed Odey lacked integrity due to bullying, threatening executive directors and dismissing the ExCo to obstruct internal discipline. The ruling reinforces regulator focus on non-financial misconduct and governance failures at senior levels in asset management firms.
Required Action
Review senior manager conduct frameworks and non-financial misconduct escalation procedures.
The failure of a small payment institution supporting money service businesses for cross-border payments creates settlement, client-money and continuity risk across its MSB network. Firms relying on PPS Money for remittance rails must reroute flows and assess safeguarded fund recovery.
Required Action
Identify exposures to PPS Money and dependent MSBs, freeze onward settlement instructions, and notify affected corridor counterparties.
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