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Capital Regulation

The Financial Crisis – A Regulatory Autopsy

Featured Stories

320

Asia-Pacific
OTC Margining in Asia – Still Unfinished Business
July 31, 2017
With the 1st September deadline looming, three key points - besides the risk of regulatory breach - are gaining the financial industry’s attention in Asia.
263

Capital Regulation
China’s Systemic Risk Crusade Threatens Overseas Investments
July 24, 2017
The campaign against systemic risk could turn into a political purge that undermines regulatory development.
465

Asia-Pacific
Tackling the MiFID 2 Data Deluge in APAC
July 20, 2017
Asia’s diverse information governance rules and sometimes insular institutions exacerbate MiFID 2 data challenge.
448

Asia-Pacific
Fintech in APAC – The Virtuous Circle
June 28, 2017
How regulatory and financial institutions are bringing the fintech ecosystem together.

Latest News

Asia-Pacific
Philippines Central Bank to Embrace Regtech
August 21, 2017
AML / KYC
Australia Signals Currency Status, AML Clampdown for Bitcoin
August 21, 2017
AML / KYC
Indian Brokers’ AML Compliance Under Heightened Scrutiny
August 21, 2017
Capital Regulation
China Financial Regulation Needs to be Stronger Still – IMF
August 17, 2017
Asia-Pacific
Malaysia Launches Leverage Ratio Consultation
August 17, 2017
Australia & NZ
Australia Eyes Provisional Market Access for Aspiring Banks
August 16, 2017
Asia-Pacific
APAC FIs Face Shortage of Cyber Crimefighters
August 16, 2017
AML / KYC
Philippines Removed from AML/CTF Blacklist
August 16, 2017
India
RBI Issues Final Tri-party Repo Guidelines
August 14, 2017
Asia-Pacific
Taiwan Allows Robo-advisory for Mutual Funds
August 14, 2017

More Latest News

Contributors

Dodd-Frank in Trump’s Crosshairs
Peter Guy August 21, 2017
Open Banking: A Roadmap for What’s to Come
Stuart Fuller & Lauren Murphy, King & Wood Mallesons August 17, 2017
Rolling in the Regulations for Robo-Advisers
Kristi L Swartz, Bryan Cave August 1, 2017

The Big PIcture

1.1K

Asia-Pacific
The Big Picture – Talking Trading Surveillance with Nasdaq’s Ulf Carlsson
July 13, 2017
Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.
250

Big Picture
The Big Picture – Jenny Knott, NEX Optimisation CEO
January 5, 2017
Chief executive of newly formed firm discusses pressing problems and potential solutions.
85

Big Picture
The Big Picture – Indian Regulatory Outlook
December 8, 2016
Highlights from Regulation Asia’s 2016 India Roundtable with ICCL, Stockholding, EY and PIVOT.

Enforcements

AML / KYC
Indian Brokers’ AML Compliance Under Heightened Scrutiny
August 21, 2017
SEBI warned nearly 500 entities on possible money laundering over the last financial year; conducted 245 investigations into illegal stock market activity.
Capital Regulation
China Financial Regulation Needs to be Stronger Still – IMF
August 17, 2017
IMF praises measures such as inclusion of WMPs in bank assessments but cites concerns about growth in debt and banking sector assets.
AML / KYC
CBA in Alleged ‘Serious’ Breach of AML/CTF Rules
August 3, 2017
AUSTRAC began civil proceedings against the CBA for “serious and systemic” failure to comply with the AML and counter-terrorism financing laws.
Enforcement
Hong Kong Regulator ups Penalties Against Individuals
August 1, 2017
Fines against individuals as opposed to corporates were up in Hong Kong, a 63% increase in fines from the year before.
China
China Financial Futures Exchange Ups Enforcement
July 31, 2017
Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]

Regtech Updates

Asia-Pacific
Philippines Central Bank to Embrace Regtech
August 21, 2017
Regtech to include API for FIs' reporting; BSP to push financial services firms to improve cyberdefences; two bitcoin exchanges get regulatory approval.
AML / KYC
Australia Signals Currency Status, AML Clampdown for Bitcoin
August 21, 2017
Cryptocurrency to be brought under AUSTRAC; proposal to follow Japan in giving bitcoin legal tender status being considered by central bank.
Asia-Pacific
Open Banking: A Roadmap for What’s to Come
August 17, 2017
A roadmap is useful when you get to a junction, where the path is unknown, and the choices are plenty. In the world of data, there are many junctions.
Asia-Pacific
APAC FIs Face Shortage of Cyber Crimefighters
August 16, 2017
Deloitte says regulators in the region also need to take a more joined-up approach as financial institutions outsource to jurisdictions with looser regimes.
India
SEBI to Study Fintech Potential for Securities Markets
August 7, 2017
Committee will help the regulator evolve the regulatory framework in response to the development of new technology pertinent to the securities markets.

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