Financial Crime

Market Abuse

Japanese Brokers Face Scrutiny of Information Controls

By Editors | 24/07/2017

Securities Dealers Association aims to ensure brokerage managers who are also investment bankers don’t reveal inside information. The new chief […]

Emerging Prudential Risks

China WMP Risk Concerns Re-emerge

By Editors | 24/07/2017

CBRC has instructed some banks to reduce rates on wealth management products amid their use as a means to bypass […]

KYC & CDD

HK’s New Financial Services Chief Advocates Centralised KYC Registry

By Editors | 19/07/2017

Top official says updated ID cards with greater security could be used as basis of the centralised KYC; boost Hong Kong’s status in fintech.

Cryptocurrency

India Could Bring Bitcoin Regulation Under SEBI

By Editors | 18/07/2017

Despite earlier talk of blanket ban, panel set up in April close to agreeing model which would give bitcoin similar status to a commodity.

Emerging Prudential Risks

PBOC to Ramp Up Regulatory Oversight

By Editors | 17/07/2017

Increased oversight by central bank may have put paid to talk of super regulator; regulators could be found guilty of […]

Market Abuse

Talking Trading Surveillance with Nasdaq’s Ulf Carlsson

By Samuel Riding | 13/07/2017

Regulation Asia discusses the latest trends in regulatory scrutiny of capital markets with Ulf Carlsson, general manager at Nasdaq in Hong Kong.

Fraud, Scams & Cybercrime

AUSTRAC Warns on Fraud, Money Laundering via Stock, Derivatives Markets

By Editors | 13/07/2017

Fraud, money laundering more prevalent than even insider trading or market manipulation, Centre suggests; only 40% of market participants filed suspicious matter reports over 2-year period.

Anti-Money Laundering

Singapore Banker Gets 2nd Conviction for 1MDB-related Offences

By Editors | 13/07/2017

Former wealth manager at shuttered Singapore office of Swiss bank BSI to serve further two years for money laundering after witness tampering sentence ends.

Credit Risk

Bank Risks Under Control, Market Supervision to Intensify – China Regulators

By Editors | 13/07/2017

Senior banking regulator suggests number of illegal fundraisings has declined sharply; counterpart at CSRC says to continue crackdown on market malfeasance.