Structural Regulation

Man Bites Watchdog

23/09/2016

Chinese investor sues securities regulator over market intervention.

Clearing & Post-Trade

DTCC Cuts GTR Rates for MAS-, ASIC-regulated Transactions

22/09/2016

New York/London/Hong Kong/Singapore (21 September) – DTCC (the Depository Trust & Clearing Corporation) will from 1 October reduce fees for […]

Anti-Money Laundering

Tencent Subsidiary Picks Thomson Reuters for AML, KYC Screening

22/09/2016

Hong Kong (21 September) – Tencent’s subsidiary, Money Data Limited, has selected Thomson Reuters Risk solutions to comply with HKMA […]

Capital Adequacy

S.Korea ‘Largely Compliant’ With Basel III, BIS Says

22/09/2016

Country found to fully meet 12 of 14 risk-based capital regulations; compliant with LCR rules.

Conduct, Culture & Accountability

Singapore: Conduct, Mis-selling and Conflicts of Interest

22/09/2016

Recent events suggest not much has changed since the financial crisis, and a different approach is needed.

Anti-Money Laundering

Taiwan FSC Concerned by Mega Bank Data Request

22/09/2016

Regulator says disclosure could breach confidentiality rules, harm foreign customers.

Anti-Money Laundering

SFC Urges Brokers to Enhance AML Controls

22/09/2016

Licensees are vulnerable on being used to launder money and finance terrorism, regulator says.

Alternative Markets

Malaysia Regulator to Form VC, PE Working Group

21/09/2016

Securities Commission to also release list of entities able to offer peer-to-peer financing.

Trading & Investment

SFC Proposes Higher Position Limits

21/09/2016

Cap on excess position limit could be increased 6-fold; 3-tier statutory position limit proposed.