Structural Regulation

China Commodity Exchanges Order Product Registration

11/11/2016

Move aims to increase monitoring of risky asset management products.

Alternative Markets

MAS to Loosen VC Regulations

11/11/2016

Measures would ease access to funding for start-ups.

Capital Adequacy

Australia Finalises Securitisation Standard

11/11/2016

Standard covers risk framework and regulatory capital requirements.

KYC & CDD

India Sets Deadline for KYC Uploads to Central Server

11/11/2016

Funds have until end of March to comply with SEBI requirement.

Anti-Bribery & Corruption

Ex-CSRC Official Admits Taking Bribes

11/11/2016

Li Liang pleads guilty to taking $1mn from nine companies.

Anti-Money Laundering

ASIC Security Adviser Charged with ML Offences

11/11/2016

High level employee alleged to have created false documents, illegally altered information.

Anti-Money Laundering

HK SFC Forms Specialist Teams for Key Risk Areas

10/11/2016

Temporary teams will cover IPO misconduct, misconduct on GEM; AML/KYC, and mis-selling.

Custody & Infrastructure

MAS, R3 Launch Blockchain Centre

10/11/2016

Initiative to innovate distributed ledgers, enhance efficiency of financial institutions and capital markets.

Market Abuse

SSE Reports Insurance Firm to Securities Commission

10/11/2016

Exchange says insurer almost exclusively made short-term trades for 10 months.