Enforcement
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India Interprets P2P Lenders as Non-bank Finance Companies
Official central bank report issued last year had suggested P2P lending platforms meet $311,000 minimum capital and leverage ratio requirements.
September 21, 2017 -
New Zealand Raises the Bar for Bank Outsourcing
Largest banks will be required to have measures in place to survive the failure of a key service provider, according to new...
September 21, 2017 -
AUSTRAC to Lead Efforts to Combat IS Funding in Southeast Asia
Australia hopes to cooperate with other jurisdictions in SE Asia amid concern IS will turn its attention to the region after Middle...
September 18, 2017 -
Shanghai Futures Exchange Flags Abnormal Market Behaviours
More than half of abnormal transactions which require disciplinary action by futures exchange involve the frequent placing and cancellation of orders.
September 18, 2017 -
Top PBOC Official Makes AML Powerplay
Vice governor Yin Yong says central bank to ‘centralise’ work amid concerns about sanctions risk and meeting stricter international standards.
September 13, 2017 -
Vietnam Central Bank Confesses Risk Monitoring, Inspection, Anti-corruption Failures
Government Inspectorate says SBV should take action against individuals named in report; provincial and administrative units reminded to report all criminal activity.
September 12, 2017 -
ASIC Eyes Accountability for Algorithmic System Operators
Regulator’s chairman says each algorithmic system must have designated individual responsible for design and outcomes, echoing new bank accountability regime.
September 11, 2017 -
Taiwan Tightens Securities, Futures Firms’ Internal Control Requirements
New regulations will require firms involved in securities and futures markets to set up separate AML/CTF units, boost FSC inspection powers.
September 7, 2017 -
SEBI Bars 19 Firms for Depository Receipt Market Manipulation
Regulator says violations could make investors ‘lose faith in the Indian securities market and even good companies will find it extremely difficult...
September 7, 2017 -
Hong Kong Joins Singapore, US in Labelling Some ICOs as Securities
SFC says some ICOs are either share, debenture or collective investment schemes; some traders in secondary market could be regulated entities.
September 6, 2017