Clearing & Post-Trade

Research Finds Derivatives Central Clearing Unfavourable

01/08/2016

Preliminary research assesses creation of cost incentive in favour of central clearing for bilateral contracts.

Trading & Investment

SFC Assigns New Investment Products Exec. Director

01/08/2016

The appointee will serve as head of investment products for three years.

Capital Adequacy

CBRC Proposing Tighter Rules for WMPs

28/07/2016

The government’s move aims to prevent shadow-financing risks.

KYC & CDD

CSRC to Tighten Brokerage Industry Supervision

28/07/2016

Stronger internal compliance and risk protocols required before year end.

Cloud & Infrastructure

MAS Issues New Risk Management Outsourcing Guidelines

28/07/2016

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

KYC & CDD

5 Point Plan for CRS Compliance

28/07/2016

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

KYC & CDD

6 Key Considerations for CRS Implementation

18/07/2016

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

Trading & Investment

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.

KYC & CDD

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.