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AML / KYC
Australian Court Jails Car Wash Owner for Money Laundering
14/02/2021
The man used express cash deposit facilities at Perth bank branches to help launder more than A$5.6mn for an alleged criminal syndicate.
ESG / Sustainability
IIF Offers Recommendations on Aligning Climate Finance Regulation
13/02/2021
The recommendations are aimed at promoting consensus and international alignment in sustainable finance policy and regulation.
Enforcement
China Instructs Deloitte to Investigate Alleged Auditing Violations
13/02/2021
Auditing violations alleged by a whistleblower include improper conduct by certain Deloitte staff members in performing the audits of five companies in 2016 and 2017.
Enforcement
CSRC Strengthens Industry Controls to Prevent Insider Trading
13/02/2021
Listed companies are required to establish a system for the registration and management of individuals who possess inside information.
AML / KYC
GLEIF Unveils Issuance, Infrastructure Models for Verifiable LEI
12/02/2021
The vLEI system will give legal entities the capacity to use non-repudiable identification data pertaining to their legal status, ownership structure and authorised representatives.
Enforcement
SEBI Penalises NSE, Former Officials in Colocation Case
12/02/2021
SEBI says NSE failed to ensure fair and equitable access by trading members subscribing to its tick-by-tick data feed system.
AML / KYC
Japan FSA to Roll Out New AML System in Fiscal 2021
12/02/2021
The FSA will share access to the new system, which will use AI to monitor for unusual transactions and persons suspected of illegal activity.
AML / KYC
CSRC Targets ‘Shadow Shareholders’ in New Guidelines
12/02/2021
A 36 month lock up period is being introduced for investors who purchase shares in companies within 12 months before their IPO applications.
Fintech / Regtech
Over 40 Parties to Apply for Digital Bank Licence: BNM
11/02/2021
Applications are being accepted until 30 June 2021, with BNM planning to award up to five licences in the first quarter of 2022.
Fintech / Regtech
FSC Korea to Allow Platform Operators Sell Insurance Products
11/02/2021
A new framework will be introduced to allow firms like Kakao and Naver to sell digital insurance products under sandbox-like conditions.
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