CBRC Redoubles Efforts to Curb ‘Shadow Banking’

24/11/2016

Regulator proposes requirements for internal monitoring, external audit.

Capital / Liquidity

Sri Lanka Introduces Risk-based CAR for Brokers

24/11/2016

Regulator and exchange will prompt brokers before CAR reaches minimum threshold.

HK Regulator to Tighten Asset Manager Rules

24/11/2016

Proposals aim to align HK with international standards; protect investors and market integrity.

AML / KYC

Indonesia Opens ID Card Database to FIs

23/11/2016

Move designed to promote investment by easing KYC and transaction processes.

New Zealand Finalises Crowdfunding, P2P Reporting Rules

23/11/2016

‘Regulatory returns’ are designed to help supeversion under Financial Markets Conduct Act.

Market Infrastructure

S.Korea FSC Hands Derivative Product Decisions to Exchange

23/11/2016

Regulator to introduce stress tests at securities firms; aims to enhance global competitiveness.

Securities / Derivatives

ASIC Pursues Civil Claim for Market Integrity Breaches

23/11/2016

Regulator has issued 51 infringement notices since 2010; case relates to only one not complied with.

Market Infrastructure

IOSCO Appoints Quintet of APAC Regulators to Top Roles

23/11/2016

SEBI officials appointed as committee chairs; Australia, HK and Malaysia regulators as vice chairs.

Capital / Liquidity

HK Launches Resolution Consultation

23/11/2016

Rules aim to impose ‘suitably tailored constraints’ on resolution authorities.