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Market Abuse
Japanese Brokerages Testing AI Systems to Detect Market Manipulation
By Garima Chitkara | 14/08/2017
SBI and Rakuten expect artificial intelligence software to be operational for detecting market manipulation within this year.
Capital Adequacy
NZ to Embark on Bank Regulation Review Following IMF Assessment
By Garima Chitkara | 10/08/2017
IMF views the central bank less fully compliant with the Basel Core Principles and recommended a more prescriptive rule-making approach to regulation.
Cybersecurity
HKMA Collecting UnionPay ATM Withdrawal Data
By Garima Chitkara | 10/08/2017
Regulator has asked for number of withdrawals and amounts to regulate the use of UnionPay cards in Hong Kong.
Conduct, Culture & Accountability
A Front Line Out of Control
By Peter Guy | 07/08/2017
Conduct and regulatory risks continue to mount as China’s crackdown on corruption puts pressure on private banks and wealth managers.
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.
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