Securities / Derivatives

CSRC Eyes Education to Halt Market Malpractice

19/06/2017

CSRC (the China Securities Regulatory Commission) kicked off the second phase of its campaign to educate investors about market malpractice. […]

AML / KYC

KYC Roundup – India Confirms Mandatory ‘Aadhar’ Use

19/06/2017

India makes use of Aadhar cards compulsory for opening bank accounts, large transactions The Indian government last week confirmed that […]

Fintech / Regtech

APAC Well Placed in Regtech Race – Wolters Kluwer

19/06/2017

Regtech (regulatory technology), including innovations such as in-memory storage, processing grids, cloud computing and artificial intelligence, is set to be […]

Capital / Liquidity

Australian Parliament OKs Industry-funding Model for ASIC

16/06/2017

All funding for securities regulator to be collected via levies on regulated entities.

Securities / Derivatives

IOSCO Updates Advice on Wholesale Market Misconduct

15/06/2017

IOSCO (the International Organization of Securities Commissions) issued a report on tackling misconduct in wholesale financial markets, citing infamous incidents […]

Securities / Derivatives

India Sets Out Commodity Options Regime

15/06/2017

SEBI (the Securities and Exchange Board of India) this week issued two circulars clarifying the framework for the country’s upcoming […]

AML / KYC

Fubon Bank Fined for AML Rule Violation

15/06/2017

Taiwan’s FSC (Financial Supervisory Commission) has reportedly fined Taipei Fubon Commercial Bank NT$1 million (US$33,200) for failing to report large […]

Enforcement

ASIC Flags Fund Manager Compliance Failures

15/06/2017

ASIC (the Australian Securities and Investments Commission) issued recommendations to improve conduct in the funds management sector, citing several failures […]

AML / KYC

Asian Institutions Concerned by China Corruption – Report

15/06/2017

A survey on global corruption by advisory firm AlixPartners found China remains one of the riskiest countries in which to […]