SECURITIES / DERIVATIVES

AML / KYC

Australia to Launch Banker Remuneration Review

By Samuel Riding | 19/10/2016

APRA says FIs need to ‘better understand and manage their risk cultures’.

Market Infrastructure

APRA Finalises Non-Centrally Cleared Derivatives Rules

By Samuel Riding | 18/10/2016

Regulator will not announce implementation date or timetable yet to allow FIs time to prepare.

AML / KYC

Singapore Hosts EU-APAC Regulators Forum

By Samuel Riding | 17/10/2016

Representatives from both jurisdictions’ regulators discuss financial regulation, collaboration

Market Infrastructure

Vietnam Capital Markets Set for November ‘Big Bang’

By Samuel Riding | 17/10/2016

Derivatives framework and conversion of SOEs into joint-stock companies set to boost liquidity.

Market Infrastructure

Thailand SEC to Probe Stock Slump

By Samuel Riding | 17/10/2016

Securities regulator vows to take legal action if market manipulation is uncovered.

Market Infrastructure

HK Launches Brokerage Cybersecurity Review

By Samuel Riding | 14/10/2016

SFC says compromised or unauthorised transactions amounted to $12.89mn.

AML / KYC

China to Tighten Internet Finance Rules

By Samuel Riding | 14/10/2016

PBOC to head taskforce including securities regulator and issue measures by March 2017.

AML / KYC

Regulation Still the Top Risk Concern for Global Banks – EY

By Samuel Riding | 13/10/2016

50% of boards, 68% of CROs prioritising regulatory implementation, meeting supervisory expectations.

Market Infrastructure

ASX Revamps Code of Conduct

By Samuel Riding | 12/10/2016

Council of Financial Regulators also issues minimum conditions for competition.