KYC & CDD

India’s New Central KYC System Frustrates SEBI

11/08/2016

Government bodies creating duplicating, unsynchronised systems.

Market Abuse

ASIC Prompts Banks on Handling of Sensitive Information

10/08/2016

While most firms have adequate policies, implementation is inconsistent.

Credit Risk

CBRC Drafts Debt-for-Equity Regulations for AMCs

10/08/2016

Draft rules too vague bankers say.

Market Risk

India Strengthens Risk Management at Commodity Exchanges

10/08/2016

Measures aim to stifle manipulators.

Market Abuse

Continuous Disclosure Tops ASIC’s Enforcement List

10/08/2016

33 percent of ASIC market integrity enforcements addressed listed firms’ disclosure burden.

Alternative Markets

SEBI Asks RBI, Government to Ease AIF Rules

10/08/2016

Taxation and safe harbour key concerns for SEBI.

Emerging Prudential Risks

APRA Finalises Conglomerate Groups Supervision Framework

10/08/2016

The eight conglomerate groups control approximately 80 percent of APRA-regulated institutions’ assets.

Anti-Money Laundering

BSP Imposes $21mn Fine Following AML Failures

08/08/2016

Largest-ever fine imposed after USD 81M Bangladesh Bank heist on RCBC.

Trading & Investment

SEBI Drafts Algo-trading Framework Revision

08/08/2016

Indian regulator suggests mechanisms to limit HFT downside.