Posts By Garima Chitkara, Regulation Asia
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China
China Cracks Down on Investment Funds for IPO Rules Violation
China has blacklisted nine funds connected to HSBC for alleged “misbehaviour” in the financial markets, specifically pertaining to IPO’s.
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AML / KYC
CBA in Alleged ‘Serious’ Breach of AML/CTF Rules
AUSTRAC began civil proceedings against the CBA for “serious and systemic” failure to comply with the AML and counter-terrorism financing laws.
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Capital Regulation
BIS Releases Policy Papers on Regulatory Proportionality and Cyber-risk
Papers analyses regional divergence in frameworks across Singapore, Hong Kong and Japan.
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Hong Kong
SFC Flags Irregularities in Private Funds and Discretionary Accounts
Hong Kong securities regulator expresses concerns on the management of private funds and discretionary accounts.
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Australia & NZ
Australian Superannuation Body Against Co-regulation
ASFA has come out strongly against the Treasury consultation proposing greater involvement of the ASIC in monitoring and enforcing financial industry codes.
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Securities & Trading
Singapore Brings ICO’s Within Regulatory Ambit
Singapore regulator announces intention to regulate ICO's that share characteristics of debt or equity securities.
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Capital Regulation
Systemic Risk Key Focus for China’s Regulators
The Chinese government made systemic risk in the country’s financial sector its main priority during its mid-year work conference.
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Enforcement
Hong Kong Regulator ups Penalties Against Individuals
Fines against individuals as opposed to corporates were up in Hong Kong, a 63% increase in fines from the year before.
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1.3KAsia-PacificAPAC Implementation of IFRS 9 – A Work in Progress
Domestic institutions in Asia have a long road ahead to meet the January 2018 deadline, survey finds.
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India
Innovation in Regulatory Infrastructure Needed for Growth in Indian Finance
India is in a unique position to ensure a more nimble and transparent financial regulatory architecture.
