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Conduct, Culture & Accountability
Compliance Culture and Goldman’s Fine for Fed Leaks
By Peter Guy | 03/11/2015
Hiring at the edge of the revolving door between regulators and banks inevitably creates hazardous regulatory challenges.
Fraud, Scams & Cybercrime
RBI Considering Inter-regulatory Provisions in Bank of Baroda Case
By Samuel Riding | 29/10/2015
Reserve Bank of India began investigation on 12 October into remittances for allegedly non-existent imports.
Anti-Money Laundering
Strong AML and Compliance Culture a Strategic Imperative in Asia: Wolters Kluwer
By Samuel Riding | 29/10/2015
White paper from financial services division explores how institutions are adapting to changing and increasingly complex requirements in the region
KYC & CDD
SEBI Plans to Use E-KYC for Mutual Fund Products: Sinha
By Samuel Riding | 29/10/2015
Move to bring all vetting processes online could attract new entrants to the market, SEBI head says.
Cloud & Infrastructure
When Regulations and Technology Clash
By Peter Guy | 26/10/2015
The ill-conceived pursuit of technology innovations by wealth managers and over cautious regulations are causing more uncertainty among clients.
Anti-Money Laundering
Indian Banks Face Scrutiny for Disclosure Lapses
By Editors | 21/10/2015
Several listed banks have come under the scrutiny of the Securities and Exchange Board and stock exchanges for violations of disclosure norms for listed firms.
Supervision & Enforcement
Financial Innovation Shouldn’t Fall Victim to Regulators’ Regrets
By Peter Guy | 20/10/2015
Some regulators regret that no bankers were imprisoned for their role in the 2008 financial crisis. But, is this realistic?
Operational Risk
APRA Releases FAQs on Super Fund Governance Consultation
By Editors | 19/10/2015
The Australian Prudential Regulation Authority has released a set of FAQs responding to questions raised in relation to its consultation package on super fund governance arrangements.
Anti-Money Laundering
China Targets “Black Banks” in Anti-Graft Campaign
By Editors | 19/10/2015
Crackdown on illegal lending and money-laundering operations in a bid to prevent outbound flows of stolen assets.
AI Risk & Governance
Reinventing Regulation
By Editors | 16/10/2015
Concern about regulation should take a backseat to discussions on how to reinvent the regulatory framework.
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