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Featured
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Growing Liquidity Requirements, a Regulatory Hazard for Asset Managers

Featured Stories

43

Capital Regulation
China Boosts Offshore RMB Liquidity as MSCI Inclusion Looms
May 21, 2018
PBOC allows offshore clearing banks to access mainland liquidity, cuts RMB reserve ratio of clearing banks to zero percent, among other measures.
35

Feature
MAS Eyes Greater Financial Sector Resilience to Cyber Threats
May 21, 2018
Consultation to be issued "soon" on raising cyber resilience at financial institutions in Singapore; rules to include internal controls, independent reviews, authentication practices.
27

Enforcement
SFC Fines Citigroup $7.3mn For IPO Sponsor Failures
May 21, 2018
The regulator fined Citigroup for due diligence and staff supervision failures relating to IPO work in 2009; no constraints placed on its business activities.
108

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...

Latest News

AML / KYC
S. Korean Banks’ AML Programmes Under US Regulatory Scrutiny
May 23, 2018
Contributed Article
GDPR – Frankenstein’s Monster of Regulation
May 22, 2018
Capital Regulation
US Fed Vice Chairman Suggests Lower Capital Requirements for Foreign Banks
May 21, 2018
Capital Regulation
China Boosts Offshore RMB Liquidity as MSCI Inclusion Looms
May 21, 2018
Capital Regulation
Hong Kong Bank Exposure Rules Gazetted
May 21, 2018
Hong Kong
SFC Expands Professional Investor Rules
May 21, 2018
India
NSE Receives CFTC Approval to Sell Futures to US Customers
May 21, 2018
China
London Exchange Releases Shanghai Trading Link Blueprint
May 21, 2018
Capital Regulation
RBI Mandates 100pc NSFR for Banks
May 21, 2018
Capital Regulation
MAS Raises Bank Deposit Insurance Protection 50pc
May 21, 2018

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Commentary

GDPR – Frankenstein’s Monster of Regulation
Peter Lancos, Exate Technology May 22, 2018
The Big Picture – Talking Crypto Regulation with Ripple’s Sagar Sarbhai
Manesh Samtani, Regulation Asia May 22, 2018
Growing Liquidity Requirements, a Regulatory Hazard for Asset Managers
Peter Guy, Regulation Asia May 21, 2018

More Commentary

The Big PIcture

35

Asia-Pacific
The Big Picture – Talking Crypto Regulation with Ripple’s Sagar Sarbhai
May 22, 2018
Regulation Asia sat down with Sagar Sarbhai, Head of Government and Regulatory Relations for APAC and the Middle East at Ripple, to discuss the company’s business proposition and the regulatory challenges it faces across the region.
39

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.
95

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.

More Big Picture Articles

Enforcement

2

AML / KYC
S. Korean Banks’ AML Programmes Under US Regulatory Scrutiny
May 23, 2018
New York State Department of Financial Services to conduct inspections at South Korean bank branches for compliance with AML regulations.
27

Enforcement
SFC Fines Citigroup $7.3mn For IPO Sponsor Failures
May 21, 2018
The regulator fined Citigroup for due diligence and staff supervision failures relating to IPO work in 2009; no constraints placed on its business activities.
46

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.
108

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...
31

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.
54

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.

More Enforcement News

Fintech / Regtech

32

Contributed Article
GDPR – Frankenstein’s Monster of Regulation
May 22, 2018
Given the 25 May go-live date, financial institutions in Asia need to immediately consider their obligations under GDPR. Exate Technology co-founders discuss the consequences of noncompliance and how firms can address the 'monster' regulation.
35

Asia-Pacific
The Big Picture – Talking Crypto Regulation with Ripple’s Sagar Sarbhai
May 22, 2018
Regulation Asia sat down with Sagar Sarbhai, Head of Government and Regulatory Relations for APAC and the Middle East at Ripple, to discuss the company’s business proposition and the regulatory challenges it faces across the region.
35

Feature
MAS Eyes Greater Financial Sector Resilience to Cyber Threats
May 21, 2018
Consultation to be issued "soon" on raising cyber resilience at financial institutions in Singapore; rules to include internal controls, independent reviews, authentication practices.
32

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.
41

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.
32

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.

More Fintech / Regtech

NEWS

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