AML / KYC
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S.Korea to Tighten Investor Self-Assessment
Samuel Riding, Regulation Asia July 5, 2016Regulator to encourage more stringent assessment of suitability for investment activities.
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SAFE Orders Tighter Checks on Outbound Investment
Samuel Riding, Regulation Asia June 29, 2016Forex regulator denies media reports of changes to individual quotas, rules.
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SEBI to Allow Fund Sales on E-commerce Platforms
Samuel Riding, Regulation Asia June 28, 2016Mutual fund association developing recommendations of panel on digitisation of financial services.
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FATF Keeps N.Korea on Blacklist, Suspends Iran Measures
Samuel Riding, Regulation Asia June 28, 2016Task force also notes Myanmar, Papua New Guinea commitments on AML and CTF.
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UBS Complies with ‘Nova Scotia’ Summons
Samuel Riding, Regulation Asia June 24, 2016Office in Miami provides details of Singapore account held by US citizen living in China.
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Hong Kong Code of Conduct Breaches Surge
Samuel Riding, Regulation Asia June 23, 2016SFC Annual Report also reveals sharp rise in AML breaches.
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ASIC Flags OTC Derivatives Compliance Failures
Samuel Riding, Regulation Asia June 21, 2016More than 70% of firms authorised to sell retail OTC derivatives said failing to meet requirements.
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SGX Finalises Sustainability Reporting Rules
Samuel Riding, Regulation Asia June 21, 2016Singapore Exchange introduces reporting on ‘comply or explain’ basis.
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No Super-Regulator Soon, China Think Tank Says
Samuel Riding, Regulation Asia June 17, 2016Influential research center says reform should focus on ‘regulatory philosophy’ over next 2-3 years.
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Indonesia Setting up Investments for Tax Amnesty Influx
Samuel Riding, Regulation Asia June 16, 2016Infrastructure funds could capture some of the millions of dollars expected to repatriated.
