Enforcement
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HK SFC, CSRC to Boost Stock Connect Supervision
Editors, Regulation Asia July 3, 2017Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.
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Enforcement – ‘Market Manipulation’ in Australia and China
Editors, Regulation Asia June 28, 2017ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.
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ASIC Flags Fund Manager Compliance Failures
Editors, Regulation Asia June 15, 2017 -
Fubon Bank Fined for AML Rule Violation
Editors, Regulation Asia June 15, 2017 -
HKMA Ticks off, Fines Coutts for AML Failings
Samuel Riding, Regulation Asia April 12, 2017Firm said to have inadequate PEP identification procedures for more than three years.
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US Extra-territorial Enforcement is Here to Stay
JP Reimann, FinFabrik April 6, 2017Compliance with US overseas enforcement actions is unlikely to change in Asia despite the dilemma it raises for the region's banks.
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HK SFC Fines Brokerage $335,000 for 300 AML Failures
Samuel Riding, Regulation Asia March 15, 2017Zhongtai International breached AML/CTF Ordinance, Code of Conduct and SFC guidance.
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HK SFC Fines Securities Firm for AML Breaches
Samuel Riding, Regulation Asia March 7, 2017Firm breached 3 regulations including SFC Code of Conduct.
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CSRC Fines P2P ‘Hyper’ $500mn
Samuel Riding, Regulation Asia February 27, 2017Company chairman misrepresented firm as P2P business despite no involvement in sector.
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Taiwan FSC Fines ANZ for TRF Mis-selling
Samuel Riding, Regulation Asia December 9, 2016Investigation finds ANZ helped customers buy RMB-linked forwards for which they were unfit.
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