AML / KYC

Philippines Removed from AML/CTF Blacklist

16/08/2017

Asia / Pacific Group also removes Pakistan, Taiwan and Vietnam from list of closely monitored countries after improvements in AML/CTF regimes.

AML / KYC

US ICO Ruling Opens ‘Can of Worms’ for Asia

27/07/2017

Securities and Exchange Commission’s decision to define ICOs as securities adds to uncertainty around regulatory treatment of the virtual economy. […]

Securities / Derivatives

Tackling the MiFID 2 Data Deluge in APAC

20/07/2017

Asia’s diverse information governance rules and sometimes insular institutions exacerbate MiFID 2 data challenge.

Big Picture

Talking Trading Surveillance with Nasdaq’s Ulf Carlsson

13/07/2017

Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.

Enforcement

Australia Launches Bank Management Accountability Consultation

13/07/2017

BEAR – Banking Executive Accountability Regime – would allow regulator to more easily ban directors and senior managers; influence remuneration policies.

Market Infrastructure

Only 1 Major APAC CCP Working on Crisis Group – Report

06/07/2017

Crisis group one of FSB’s main recommendations for CCPs; joint study warns on interconnectedness, concentration.

Fintech in APAC – The Virtuous Circle

28/06/2017

How regulatory and financial institutions are bringing the fintech ecosystem together.

Capital / Liquidity

Updated – Singapore to Delay FRTB, IRRBB, SA-CCR

22/06/2017

MAS has privately told banks it will alter the implementation timelines for several regulations including FRTB, Regulation Asia can reveal.

AML / KYC

MAS Issues Retail Derivative, OTC Licensing Consultations

01/06/2017

Stiffer requirements for retail dealing in unlisted derivatives; licensing exemption for remote clearing members.