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Capital / Liquidity
Asian Firms at Risk of Drowning Under Wave of Regulation from US, Europe
By David Farmery | 30/11/2017
The wave of financial regulation about to wash over Europe and North America could eventually overwhelm Asian institutions.
Market Infrastructure
SGX Revamping Securities Settlement Processes
By Editors | 30/11/2017
Exchange consultation proposes move to T+2 settlement, simultaneous securities, money settlement in bid to prevent systemic risk.
Securities / Derivatives
Stock Exchange Reality: Profit Versus Regulations
By Peter Guy | 27/11/2017
HKEX and SFC recently decided to admit dual class share listings, but reject a start-up board. Their decisions will change key regulatory principles.
Enforcement
HK Regulators Warn on Conflicts of Interest in Product Sales
By Editors | 27/11/2017
HKMA, SFC say some intermediaries aren’t revealing related counterparties, not executing at best price, hide cheaper products.
AML / KYC
Singapore, Abu Dhabi to Cooperate on Banking Supervision, Markets, Fintech
By Editors | 27/11/2017
Middle Eastern regulator has already approved one Singapore firm to provide credit services; Singapore firm won Fintech challenge.
Securities / Derivatives
Japanese Banks Call for Simplified UPI Rules
By Editors | 20/11/2017
Bankers Association says its members already provide legal identifiers under local regulation and the rules of countries in which they operate.
Capital / Liquidity
Europe Tightens Rules on Overseas Credit Rating Endorsements
By Editors | 20/11/2017
Regulator says about two thirds of credit ratings used for regulatory purposes in the EU cover non-EU issuers of financial instruments.
Enforcement
Ex CITIC Securities President Jailed 3.5 Years for Corruption
By Editors | 16/11/2017
Caixin reports that Cheng Boming was among 11 CITIC executives detained for alleged insider trading and leaking information during 2015 market meltdown.
Crypto / Digital Assets
India’s Highest Court Considering Petition Calling for Bitcoin Regulation
By Garima Chitkara | 16/11/2017
Petitioner says central bank, securities regulator refusing to take responsibility for bitcoin regulation by not defining as currency or commodity
Market Infrastructure
China to Allow More Foreign Investment in Banks, Majority Stakes in Brokerages
By Editors | 13/11/2017
Move follows introduction earlier this year of licensing system for foreign asset managers to set up private funds in China.
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