Enforcement

ASIC Chief Sets out Firms’ Conduct Failings

27/07/2017

Chairman Greg Medcraft suggests firms aren’t linking conduct to other areas of risk; message might not be getting through to […]

AML / KYC

China CRS Less Burdensome than Expected

27/07/2017

But law firm warns that CRS elsewhere is likely to have greater impact on Chinese residents, particularly those who invest […]

Securities / Derivatives

Vietnam Regulator Cleans Up Markets in Advance of Derivatives Regime

26/07/2017

State Securities Commission shuttered 28 firms and withdrew brokerage business licenses from another 13 institutions in 1H17; derivatives launch set […]

Market Infrastructure

AFCA Eyes Stronger Capital Markets, Better Risk Management at Asian Banks

26/07/2017

Beijing-based Association will lobby supranational regulatory bodies and push for better risk management and conduct at Asian financial institutions. The […]

Capital / Liquidity

MAS Issues Capital Adequacy Consultation

26/07/2017

Revised Notice 637 on banks’ capital requirements set to bring Singapore in line with Basel III, starting from January next […]

Fintech / Regtech

Singapore Regtechs Innovate New KYC Methods

24/07/2017

Regtech firms Silent Eight and Black Swan technologies emerge from OCBC’s Open Vault to cut KYC processes from up to […]

Fintech / Regtech

Regulatory Support Behind Fintech’s Rise – EY

24/07/2017

Asia Pacific countries lead adoption as sector gains traction, backed by due to greater support, and affirmation, from regulators and […]

Securities / Derivatives

Japanese Brokers Face Scrutiny of Information Controls

24/07/2017

Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]

Capital / Liquidity

China WMP Risk Concerns Re-emerge

24/07/2017

CBRC has instructed some banks to reduce rates on wealth management products amid their use as a means to bypass […]