Financial Crime

Supervision & Enforcement

ASIC Details Enforcement Drive

By Samuel Riding | 21/10/2016

Regulator reveals members and terms of reference for Enforcement Review Task Force

Market Abuse

HK Tribunal Tells Short Seller to Repay $200,000

By Samuel Riding | 20/10/2016

Citron’s Andrew Left also banned from trading in Hong Kong for five years, vows appeal.

Market Abuse

Shanghai Futures Exchange Adopts Nasdaq Surveillance Platform

By Samuel Riding | 20/10/2016

New platform will monitor Exchange’s more than 200 members, 700 distant trading terminals.

Supervision & Enforcement

Taiwan Selects New FSC Chief

By Samuel Riding | 20/10/2016

New chief is Bank of Kaohsiung chairman; former FSC chair quit amid Mega Bank scandal.

Market Abuse

India’s NSE Launches HFT Forensic Audit

By Samuel Riding | 19/10/2016

Deloitte asked to looking into audit systems, investigate brokers and officials amid ‘fair access’ violations.

Market Abuse

CSRC Fines Media Firm for Misleading Article

By Samuel Riding | 18/10/2016

Securities regulator seeking to clamp down on market rumours and misinformation.

PEPs & Sanctions

SFC Reminds on Sudan, DRC Sanctions

By Samuel Riding | 17/10/2016

Regulator also asks corporations and entities to conduct AML compliance checks.

KYC & CDD

Why Fee Generation Trumps Reputational Risk

By Peter Guy | 17/10/2016

Goldman Sachs’s victorious case against LIA an object lesson in bank’s priorities.

Market Abuse

Thailand SEC to Probe Stock Slump

By Samuel Riding | 17/10/2016

Securities regulator vows to take legal action if market manipulation is uncovered.