Financial Crime

Structural Regulation

The Big Picture – Indian Regulatory Outlook

By Samuel Riding | 08/12/2016

Highlights from Regulation Asia’s 2016 India Roundtable with ICCL, Stockholding, EY and PIVOT.

Anti-Money Laundering

AML & Open Data: The End of Privacy?

By Editors | 08/12/2016

Why regulation alone will not address risks arising from technological advances.

Structural Regulation

ASIC Issues Licensing Report

By Samuel Riding | 07/12/2016

Regulator concerned by misleading applications, overseas misrepresentation by OTC derivative licensees.

Market Abuse

Japanese Regulator Recommends Morgan Stanley Fine

By Samuel Riding | 07/12/2016

SESC suggests unit be fined $1.9mn for market manipulation including placing orders without intent to trade.

Resolution & Recovery

FSB RCG Asia Details Workplan, Policy Priorities

By Samuel Riding | 06/12/2016

Group met to discuss macroprudential frameworks, fintech, and correspondent banking.

Conduct, Culture & Accountability

Regulation: Now Up Close and Personal

By Peter Guy | 05/12/2016

HK’s proposal to expand liabilities to support staff will only sow division.

Trading & Investment

Shenzhen-HK Stock Connect Opens

By Samuel Riding | 05/12/2016

Accompanying rules aim to curb cross-border illegal activity, market misconduct.

Fraud, Scams & Cybercrime

Thailand Bans 11 Kasikornbank Staff in Fraud Case

By Samuel Riding | 05/12/2016

Probe finds bank has poor risk and data management, internal controls and compliance systems.

Market Abuse

Japan to Introduce Corporate Disclosure Rules

By Samuel Riding | 04/12/2016

Measures will aim to prevent information leaks; follow censures of Deutsche, Credit Suisse.