AML / KYC

ASIC Sets out Blockchain Regulatory Framework

21/03/2017

Regulator will ask six questions to assess a DLT’s regulatory compliance.

AML / KYC

Updated – MAS Raises Spectre of Algo ‘Contagion’

21/03/2017

Singapore regulator using clustering, network analysis; to set up supervisory technology unit.

Securities / Derivatives

Westpac, ANZ Submit to Forex Trading Supervision

20/03/2017

Banks will be under third-party supervision as they fix ‘systems, control and monitoring’.

Japan Regulator Cites Broker for Spoofing

20/03/2017

Regulator says Virgin-islands registered broker manipulated four stocks.

AML / KYC

FSB Chief Urges Continuation of Reform

20/03/2017

But Mark Carney suggests body will investigate ‘unintended consequences’ of regulation.

AML / KYC

Malaysia Regulators Unite on Corruption

20/03/2017

Central bank, anti-corruption and tax bodies to share information, best practice.

Market Infrastructure

MAS Enters Japan Fintech Partnership

15/03/2017

Japan recently forged fintech link with UK; regulatory agreements over past 12 month belie talk of ‘economic nationalism’.

AML / KYC

HK SFC Fines Brokerage $335,000 for 300 AML Failures

15/03/2017

Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.

Market Infrastructure

IOSCO Launches APAC Hub

15/03/2017

Hub is intended to build regulatory capacity in APAC jurisdictions.