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Anti-Money Laundering
CBA Responds to AUSTRAC Civil Proceedings
By Garima Chitkara | 07/08/2017
Bank claims that the missing TTRs were due to a coding error following a software update in the IDMs since November 2012 until September 2015.
Market Abuse
China Cracks Down on Investment Funds for IPO Rules Violation
By Garima Chitkara | 07/08/2017
China has blacklisted nine funds connected to HSBC for alleged “misbehaviour” in the financial markets, specifically pertaining to IPO’s.
Anti-Money Laundering
CBA in Alleged ‘Serious’ Breach of AML/CTF Rules
By Garima Chitkara | 03/08/2017
AUSTRAC began civil proceedings against the CBA for “serious and systemic” failure to comply with the AML and counter-terrorism financing laws.
Conduct, Culture & Accountability
SFC Flags Irregularities in Private Funds and Discretionary Accounts
By Garima Chitkara | 03/08/2017
Hong Kong securities regulator expresses concerns on the management of private funds and discretionary accounts.
Tokenisation
Singapore Brings ICO’s Within Regulatory Ambit
By Garima Chitkara | 02/08/2017
Singapore regulator announces intention to regulate ICO’s that share characteristics of debt or equity securities.
Conduct, Culture & Accountability
Hong Kong Regulator ups Penalties Against Individuals
By Garima Chitkara | 01/08/2017
Fines against individuals as opposed to corporates were up in Hong Kong, a 63% increase in fines from the year before.
Anti-Money Laundering
Korea Regulator Flags Weaknesses in Foreign Banks’ AML
By Editors | 31/07/2017
FSS reveals details of AML audits covering banks and other financial services providers, says to impose strict sanctions against regulatory […]
Market Abuse
China Financial Futures Exchange Ups Enforcement
By Editors | 31/07/2017
Exchange says it addressed more than 600 ‘abnormal trades’ in 1H17 and referred nine cases to the securities regulator; keeping […]
Market Abuse
HKEX, CSRC and SFC on a Regulatory Collision Course
By Peter Guy | 31/07/2017
Regulatory problems in China market could spill into Hong Kong through HKEX’s new third board.
KYC & CDD
China CRS Less Burdensome than Expected
By Editors | 27/07/2017
But law firm warns that CRS elsewhere is likely to have greater impact on Chinese residents, particularly those who invest […]
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