AML / KYC

CSRC to Tighten Brokerage Industry Supervision

28/07/2016

Stronger internal compliance and risk protocols required before year end.

Market Infrastructure

MAS Issues New Risk Management Outsourcing Guidelines

28/07/2016

Conclusions address issues around cloud computing and outsourcing arrangements for FIs.

5 Point Plan for CRS Compliance

28/07/2016

CRS compliance process proving to be more complicated than just an extension of FATCA compliance.

6 Key Considerations for CRS Implementation

18/07/2016

CRS compliance process proving to be more complicated than just an extension of FATCA compliance.

Securities / Derivatives

SZ-HK Stock Connect to Kick-off Before Year End

03/07/2016

CSRC chairman unable to give definitive timetable; plans for Shanghai-London link delayed.

Securities / Derivatives

Asia’s Digital On-boarding Challenge

22/06/2016

Appway survey reveals how regulations, technology, and compliance are driving competition among wealth managers in Asia.

Securities / Derivatives

HK SFC Planning Fund Liquidity Rules

17/06/2016

Regulators’ increasingly concerned about role of investment funds as source of systemic risk.

Securities / Derivatives

China Grants 1st RQFII Quota to US

08/06/2016

USD38 billion quota is the second largest after Hong Kong’s.

Market Infrastructure

Japan Grants FCO Status to CME

05/06/2016

US futures company will compete with UK’s LCH in interest-rate swaps market.