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Capital Regulation

When FRTB Meets the Real World

Featured Stories

88

AML / KYC
ICBC’s US Securities Unit Fined $5.3mn for AML Failures
May 17, 2018
US regulator FINRA has fined ICBC Financial Services for failing to have an AML program in place; ICBC FS also settled a case with the US SEC, paying $860,000 for failing to report suspicious transactions in its penny stock trading...
68

China
Shanghai to Allow Foreign Banks to Set Up Branches, Subsidiaries
May 17, 2018
China will allow foreign banks to set up branches and subsidiaries in Shanghai amid a host of measures to further open up the city’s financial sector.
71

Australia & NZ
Open Banking: Aussie Banks to Share Customer Data Starting in 2019
May 14, 2018
The Australian government is set to mandate Open Banking, requiring banks to provide data to other service providers to help customers compare banking service costs.
48

China
JPMorgan Seeks Majority Stake in China Ventures
May 14, 2018
The US bank's Hong Kong unit has applied for 51% stake in a Chinese securities firm; also announced plans for majority stake in its fund management joint venture.

Latest News

Asia-Pacific
Indonesia to Tighten Rules on Fintech Lenders
May 19, 2018
Hong Kong
Hong Kong Allows Corporate Setup for Investment Funds
May 19, 2018
Asia-Pacific
Myanmar Approves Formation of First Credit Bureau
May 18, 2018
China
China Gives the CBIRC Exclusive Supervision Over Leasing Industry
May 17, 2018
Asia-Pacific
Thailand ‘Digital Asset’ Decree Takes Effect
May 17, 2018
Enforcement
Hong Kong SFC Releases Further Details on Licensing Regime
May 17, 2018
India
BSE Receives US SEC “Designated Offshore Securities Market” Status
May 17, 2018
AML / KYC
ICBC’s US Securities Unit Fined $5.3mn for AML Failures
May 17, 2018
AML / KYC
Singapore Releases AML/CTF Best Practice Papers
May 17, 2018
China
ASIFMA: China’s Reforms Target Increased Foreign Participation
May 17, 2018

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Commentary

SFC Fund Manager Code of Conduct – What You Need to Know
Derek McGibney, Cordium May 16, 2018
When FRTB Meets the Real World
Peter Guy, Regulation Asia May 14, 2018
ACAMS 2018: Rising to the Financial Crime Challenge
Manesh Samtani, Regulation Asia May 10, 2018

More Commentary

The Big PIcture

33

Big Picture
Fitch Downgrades HK Banks due to China Exposure
May 16, 2018
Fitch Ratings cut its assessment of Hong Kong banks’ operating environment from A+/negative to A/stable because of growing influence of Chinese economy on the industry.
92

Big Picture
Fintech a Key Enabler for Financial Firms – DTCC
May 8, 2018
Markets safer and more resilient 10 years post-GFC, but regulatory complexities and rapidly-changing risk landscapes persist as challenges to the industry.
48

Big Picture
Moody’s Places HK Banks on Review for Upgrade
May 1, 2018
Hong Kong legislation enables authorities to achieve orderly resolution in the event of a bank failure and provides clarity on the effect on depositors and other creditors.

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Enforcement

35

Enforcement
Hong Kong SFC Releases Further Details on Licensing Regime
May 17, 2018
SFC bulletin highlights areas of concern the regulator considers in granting and rejecting licenses as well as updates to MIC regime; SFC also announced a forthcoming thematic review of MIC regime compliance.
88

AML / KYC
ICBC’s US Securities Unit Fined $5.3mn for AML Failures
May 17, 2018
US regulator FINRA has fined ICBC Financial Services for failing to have an AML program in place; ICBC FS also settled a case with the US SEC, paying $860,000 for failing to report suspicious transactions in its penny stock trading...
26

China
CSRC Hands Out $1.2bn in Penalties in Bumper Year
May 15, 2018
Regulator handed out penalties amounting to $1.19bn in 2017, an 80% increase from 2016; market bans involved 44 persons, the highest in recent years.
49

Capital Regulation
UPDATED – RBI Freezes Lending, Hiring at Indian Banks Amid Rising NPAs
May 14, 2018
Central bank imposes lending and hiring freeze on Dena Bank, a public sector bank that reported a four-fold increase in gross NPAs and negative ROA for the quarter ending March 2018.
49

Enforcement
UPDATED – S.Korea Expands Probe into Crypto Exchanges
May 14, 2018
South Korean prosecutors have raided the country’s largest cryptocurrency exchange UPbit, seizing hard drives and accounting books; second largest exchange Bithumb also on FSC radar.
46

AML / KYC
FSB Asia Members Consider Financial System Vulnerabilities
May 13, 2018
Members discussed bank resolution regimes, the use of tech to mitigate AML/CTF risk, governance frameworks to reduce misconduct.

More Enforcement News

Fintech / Regtech

15

Asia-Pacific
Indonesia to Tighten Rules on Fintech Lenders
May 19, 2018
Fintech lenders will be compelled to be registered with OJK; unregistered firms will be unable to tap financial markets or raise funds from banks.
28

Asia-Pacific
Thailand ‘Digital Asset’ Decree Takes Effect
May 17, 2018
Cryptocurrencies now defined as digital assets, granting the SEC powers to regulate; exchanges have 90 days to register with SEC.
26

Fintech / Regtech
South Korea to Ease Cryptocurrency Policy
May 17, 2018
South Korea to soften cryptocurrency policy, apply FATF standards; central bank to release recommendations by end of June.
30

Fintech / Regtech
Taiwan’s Fubon Bank Launches Blockchain Payment System
May 16, 2018
Fubon becomes first Taiwanese bank to launch blockchain-based retail payment system, cutting transaction times to less than one second.
42

Fintech / Regtech
IOSCO Meets to Discuss Investor Protection, Emerging Risks
May 15, 2018
Board to develop support framework to help members address impact of ICOs on investor protection; agree to launch ‘Fintech Network’ to facilitate collaboration on fintech.
71

Australia & NZ
Open Banking: Aussie Banks to Share Customer Data Starting in 2019
May 14, 2018
The Australian government is set to mandate Open Banking, requiring banks to provide data to other service providers to help customers compare banking service costs.

More Fintech / Regtech

NEWS

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