Capital / Liquidity

PBOC Issues $57bn in Emergency Loans to Banks

19/12/2016

Brokers involved in bond market-making urged to continue trading amid year-end selloff.

AML / KYC

HK SFC Issues Management Accountability Rules

19/12/2016

Proposals cover eight main functions including compliance and AML/CTF.

Capital / Liquidity

APRA Defers International Exposures Reporting Deadline

19/12/2016

Banks will now have until the end of next year to report their data.

AML / KYC

BSP Issues New Pawnshop Rules

16/12/2016

New regulations aim to enhance financial inclusion, consumer protection.

AML / KYC

AUSTRAC Targets ML via Pubs, Clubs

16/12/2016

Centre issues fact sheets warning business owners to protect themselves.

Securities / Derivatives

India Seeks to Ban 5 Brokers Over NSEL Scam

16/12/2016

Court order includes accusations that brokers are not ‘fit and proper’ to act in securities market.

Securities / Derivatives

SFC Revokes Securities Firm License for ‘Egregious Conduct’

16/12/2016

Officers banned from the industry for using client money for personal use.

Market Infrastructure

Deloitte’s NSE Audit Finds ‘Technical Lapses’

16/12/2016

No individual involvement or human fault involved, report will say.

Market Infrastructure

MAS Proposes Short-selling Disclosure Rules

16/12/2016

Some trades to be reported to exchange, others to the regulator itself.