Enforcement
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Bank Risks Under Control, Market Supervision to Intensify – China Regulators
Editors, Regulation Asia July 13, 2017Senior banking regulator suggests number of illegal fundraisings has declined sharply; counterpart at CSRC says to continue crackdown on market malfeasance.
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Australia Launches Bank Management Accountability Consultation
Samuel Riding July 13, 2017BEAR - Banking Executive Accountability Regime - would allow regulator to more easily ban directors and senior managers; influence remuneration policies.
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China Regulators Target ‘Rat’ Traders
Editors, Regulation Asia July 10, 2017Ministry of Public Security says it has uncovered 80 cases of the form of insider trading since 2014. CSRC to use big data as it continues crackdown.
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US Regulators Flex Muscles in Asia
Editors, Regulation Asia July 6, 2017Grip could be set to get even tighter if DOJ proposals on accessing documents, expanding AML predicates are implemented.
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MAS Takes Next Step Towards Increased Powers
Editors, Regulation Asia July 6, 2017Bill would allow regulator to compel firms to prepare recovery plans, enforce mandatory bail-ins for failing institutions.
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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 April 12, 2017Firm said to have inadequate PEP identification procedures for more than three years.
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