Capital Adequacy

Malaysia Launches Leverage Ratio Consultation

17/08/2017

Banks will be required to calculate leverage ratios as of June 30 this year in response to consultation before full requirement comes into effect.

Structural Regulation

HK Auditing Brokers’ Protection of Client Assets

31/07/2017

Regulator cites weaknesses in internal account protection controls despite warnings; IOSCO report says HK due diligence to safeguard client rights […]

Anti-Money Laundering

Korea Regulator Flags Weaknesses in Foreign Banks’ AML

31/07/2017

FSS reveals details of AML audits covering banks and other financial services providers, says to impose strict sanctions against regulatory […]

Credit Risk

Moody’s Gives China Banks a Boost, HK Lenders Not So Lucky

31/07/2017

Rating agency says banks in China enjoy a stable operating environment despite still-deteriorating asset quality as government policy efforts take […]

Market Abuse

China Financial Futures Exchange Ups Enforcement

31/07/2017

Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]

Capital Adequacy

HK Fund Dealing Desks Win OTC Capital Requirements Reduction

27/07/2017

OTCD regime seen to need further tweaks following responses to 2015 consultation; fund manager dealing desks win capital requirements reduction. […]

Conduct, Culture & Accountability

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 […]

KYC & CDD

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 […]

Structural Regulation

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 […]