Conduct, Culture & Accountability

TWSE Launches Investor Stewardship Principles

08/07/2016

Guidelines for institutional investors represent shift in focus from regulation, enforcement to market mechanisms.

Resolution & Recovery

HK Banks to Step up Failure Planning – Fitch

08/07/2016

Rating agency notes Hong Kong is one of the few Asian jurisdictions to allow bail in.

Conduct, Culture & Accountability

ABA Launches Code of Practice Review

08/07/2016

Bankers’ association to revamp guidelines for treatment of individuals and small businesses.

Structural Regulation

SSE Says to Implement CPC, CSRC Requirements

08/07/2016

Shenzhen exchange says to enhance governance structure and standardise management.

Structural Regulation

SEBI to Strengthen Supervision of Bond Rating Agencies

08/07/2016

Board member Rajeev Kumar Agarwal says to also simplify FPI procedures, crack down on ‘black money’.

KYC & CDD

Thomson Reuters Org ID Ensures Alignment With SG Banks’ KYC Practices

08/07/2016

Thomson Reuters Org ID KYC, the global Know Your Customer end-to-end client identity managed service, has adopted the Association of […]

Structural Regulation

ASIC Warns on Unlicensed OTC

07/07/2016

Securities regulator has contacted 40 unlicensed operators, 21 have taken remedial measures.

Trading & Investment

SEBI Seeks Clarity on Algo-trading Violations

07/07/2016

Securities regulator to bring National Stock Exchange before technical advisory committee.

Operational Risk

CBRC Proposes Bank Risk Management Guidelines

07/07/2016

Draft guidelines include proposals on governance structure, control and audit.