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Supervision & Enforcement
Lost in the Twilight Zone – China’s Financial Regulation
By Peter Guy | 14/12/2015
China’s regulation through selective enforcement instead of improving compliance creates more problems than it solves.
Market Abuse
Poachers Turned Gamekeepers
By Samuel Riding | 08/12/2015
How algorithmic trading technology is helping regulators spot market malpractice.
KYC & CDD
Compliance Demands More Talent Than Ever
By Peter Guy | 08/12/2015
Staff turnover and increasing responsibilities are forcing banks to redefine the role of compliance managers.
Anti-Money Laundering
Hong Kong AML Breaches Surge
By Samuel Riding | 08/12/2015
SFC uncovers 81 anti-money laundering breaches in third quarter of 2015.
Anti-Bribery & Corruption
ABC President Steps Down amid Probe
By Samuel Riding | 08/12/2015
Zhang Yun exits Agricultural Bank of China after reportedly being detained as part of corruption investigation.
Credit Risk
Vietnam Limits Bank Expansions
By Samuel Riding | 08/12/2015
State bank says lenders with NPL ratio of more than 3 percent cannot open new branches.
Conduct, Culture & Accountability
Out to Get You
By Peter Guy | 07/12/2015
Regulators now demand personal liability from bank compliance officers. It’s fuelling suspicion and resentment, and major changes to the compliance role.
Market Abuse
High Frequency Trading: Lessons for Asia
By Samuel Riding | 03/12/2015
US trader and HFT whistleblower Haim Bodek raises red flags for Asian brokers and regulators.
Market Abuse
Ensuring Fast, Fair Trading in Asia
By Samuel Riding | 03/12/2015
Reflecting on the Asian impact of rising fears, and prosecutions, of spoofing by high-frequency traders.
Market Abuse
Trading or Spoofing? A Legal Perspective from Singapore
By Samuel Riding | 03/12/2015
WongPartnership discusses whether Singapore’s existing regulatory framework is sufficient to distinguish valid trading and spoofing.
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