Articles by Editors
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Capital Regulation
HK Fund Dealing Desks Win OTC Capital Requirements Reduction
July 27, 2017OTCD regime seen to need further tweaks following responses to 2015 consultation; fund manager dealing desks win capital requirements reduction. […]
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Australia & NZ
ASIC Chief Sets out Firms’ Conduct Failings
July 27, 2017Chairman Greg Medcraft suggests firms aren’t linking conduct to other areas of risk; message might not be getting through to […]
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AML / KYC
China CRS Less Burdensome than Expected
July 27, 2017But law firm warns that CRS elsewhere is likely to have greater impact on Chinese residents, particularly those who invest […]
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Asia-Pacific
Vietnam Regulator Cleans Up Markets in Advance of Derivatives Regime
July 26, 2017State Securities Commission shuttered 28 firms and withdrew brokerage business licenses from another 13 institutions in 1H17; derivatives launch set […]
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Asia-Pacific
AFCA Eyes Stronger Capital Markets, Better Risk Management at Asian Banks
July 26, 2017Beijing-based Association will lobby supranational regulatory bodies and push for better risk management and conduct at Asian financial institutions. The […]
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Capital Regulation
MAS Issues Capital Adequacy Consultation
July 26, 2017Revised Notice 637 on banks’ capital requirements set to bring Singapore in line with Basel III, starting from January next […]
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AML / KYC
Singapore Regtechs Innovate New KYC Methods
July 24, 2017Regtech firms Silent Eight and Black Swan technologies emerge from OCBC’s Open Vault to cut KYC processes from up to […]
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China
Regulatory Support Behind Fintech’s Rise – EY
July 24, 2017Asia Pacific countries lead adoption as sector gains traction, backed by due to greater support, and affirmation, from regulators and […]
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Japan
Japanese Brokers Face Scrutiny of Information Controls
July 24, 2017Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]
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Capital Regulation
China WMP Risk Concerns Re-emerge
July 24, 2017CBRC has instructed some banks to reduce rates on wealth management products amid their use as a means to bypass […]