Conduct, Culture & Accountability

HK SFC Issues Management Accountability Rules

19/12/2016

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

Emerging Prudential Risks

APRA Defers International Exposures Reporting Deadline

19/12/2016

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

Structural Regulation

BSP Issues New Pawnshop Rules

16/12/2016

New regulations aim to enhance financial inclusion, consumer protection.

Anti-Money Laundering

AUSTRAC Targets ML via Pubs, Clubs

16/12/2016

Centre issues fact sheets warning business owners to protect themselves.

Market Abuse

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.

Fraud, Scams & Cybercrime

SFC Revokes Securities Firm License for ‘Egregious Conduct’

16/12/2016

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

Trading & Investment

Deloitte’s NSE Audit Finds ‘Technical Lapses’

16/12/2016

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

Trading & Investment

MAS Proposes Short-selling Disclosure Rules

16/12/2016

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

Credit Risk

CBRC Urges Joint Stock Banks to Up Credit Risk Monitoring

16/12/2016

Chairman also warns on non-credit business; says banks should increase liquid reserves.