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Market Abuse
ASIC – No Plans for Research Unbundling
By Editors | 06/07/2017
Regulator issues consultation on conflicts of interest, non-public information in sell-side research.
Market Risk
HKMA to Help Support Banks’ Business – KPMG
By Editors | 04/07/2017
Report suggests financial stability issues are becoming less pressing, HKMA will encourage growth.
Market Abuse
HK SFC, CSRC to Boost Stock Connect Supervision
By Editors | 03/07/2017
Regulators conducted 60 joint investigations in 1H16, taking total to 365 since Shanghai-HK link established in 2014.
Conduct, Culture & Accountability
GRC – The Path to Managing Regulatory Change Intelligently
By Derek McGibney | 29/06/2017
Why small and medium-sized firms don’t need an ‘oversized’ compliance effort.
Anti-Money Laundering
Southeast Asia Roundup
By Editors | 29/06/2017
The Philippine government passed amendments to the country’s AML (anti-money laundering) law, bringing casinos under it’s rules for the first […]
Supervision & Enforcement
Australia Eyes Stronger Powers for ASIC
By Editors | 29/06/2017
The Australian Treasury issued a trio of proposals to enhance the enforcement powers of ASIC.
Cloud & Infrastructure
Fintech in APAC – The Virtuous Circle
By Samuel Riding | 28/06/2017
How regulatory and financial institutions are bringing the fintech ecosystem together.
Market Abuse
Enforcement – ‘Market Manipulation’ in Australia and China
By Editors | 28/06/2017
ASIC says Macquarie Securities failed to escalate suspicions; China-based HFT to pay $101mn.
KYC & CDD
India Sweetens the P-Note Pill for Foreign Investors
By Editors | 27/06/2017
Eased rules for fund managers, private banks to compensate for crackdown on offshore derivatives.
Market Abuse
HK SFC to Review Short-selling Rules
By Editors | 27/06/2017
Top financial services and treasury official says eyeing market activity, global regulatory developments.
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