Anti-Money Laundering

FATCA Registry will Aid Foreign Financial Institutions’ Compliance Efforts

02/10/2013

The recent creation of a new online registration system for financial institutions to register with the U.S. Internal Revenue Service (IRS) will benefit compliance and legal staff.

Capital Adequacy

Fitch Rates ICBC Basel III Notes ‘BBB+(exp)’

02/10/2013

Fitch Ratings has assigned Industrial and Commercial Bank of China (Asia) Ltd’s (ICBC Asia; A/Stable) upcoming 10-year Basel III-compliant Tier […]

Clearing & Post-Trade

ESMA Publishes Further Advice to Commision on Non-EU Countries

02/10/2013

The European Securities and Market Authority (ESMA) has published its second set of advice to the European Commission on the […]

Structural Regulation

ASEAN MoU to Establish Cross-Border Collective Investment Schemes

01/10/2013

The ASEAN Capital Markets Forum (“ACMF”) announced that the Securities Commission of Malaysia, the Monetary Authority of Singapore and the […]

Structural Regulation

CBRC on Banking Regulation in Shanghai FTA

29/09/2013

Recently, the CPC Central Committee and State Council have decided to establish the China (Shanghai) Pilot Free Trade Area (FTA). […]

Structural Regulation

SFC and SEHK Publish Listing Revision on Overseas Companies

27/09/2013

The Securities and Futures Commission (SFC) and The Stock Exchange of Hong Kong Limited (SEHK), a wholly-owned subsidiary of Hong […]

Structural Regulation

A New Approach by Sponsors of Hong Kong IPOs

27/09/2013

Prospective listing candidates and their sponsors will face further scrutiny and more stringent guidelines when looking to IPO on the […]

Fraud, Scams & Cybercrime

SEC Freezes Assets in Ponzi Scheme Targeting Investors in Japan

27/09/2013

The Securities and Exchange Commission today announced an emergency action to freeze the assets of a Las Vegas-based firm and […]

Capital Adequacy

Global Regulatory Reforms: What’s Done, What To Watch For. MAS’ Ravi Menon

25/09/2013

Thomson Reuters hosted the 4th Pan-Asian Regulatory Summit on 25 September 2013 in Singapore. Here is the full transcript from […]